INSURANCE ACT.

An Act to amend and consolidate the law relating to insurance and to regulate the business of insurance, and for purposes incidental thereto and connected therewith.

PART I
PRELIMINARY.

1. Application.

This Act shall apply to all insurance and reinsurance companies, insurance and reinsurance broking companies, insurance and reinsurance brokers and agents, loss adjusters and assessors, risk managers and representatives of foreign companies engaged in such activities.

2. Interpretation.

In this Act, unless the context otherwise requires—

(a) “actuary” means a person who is a member, an associate or a fellow of a professional institute, faculty, society or association of actuaries, recognised as such by the Authority and who is authorised by that institute, faculty, society or association to certify actuarial valuations of life insurance business;

(b) “admitted assets” includes any properties, security, items or interest of a person but does not include—

(a) unsecured loans;

(b) mortgaged assets;

(d) intangible assets;

(e) prepaid preliminary expenses;

(f) assets held outside Uganda, except assets owed by foreign re-insurers;

(g) any other assets as may be determined by the Authority;

(c) “admitted liabilities” means liabilities shown as current contingents or as prospective liabilities in the accounts of an insurer and includes liabilities in respect of a policy of long term insurance business, but does not include—

(a) liabilities in respect of share capital;

(b) liabilities in respect of such matters as the Authority may by notice on writing direct;

(d) “Authority” means the Insurance Regulatory Authority of Uganda established under Part II of this Act;

(e) “central bank” means the Bank of Uganda established under the Bank of Uganda Act;

(f) “claim settling agent” means a person licensed under this Act to undertake the business of settling and negotiating the settlement of an insurance claim, on behalf of an insurer, under a policy issued by the insurer within or outside Uganda;

(g) “currency point” has the value assigned to it in Schedule 1;

(h) “director” means a director of the governing body of an insurer, a broker or an adjuster;

(i) “document” includes accounts, deeds, letters, writings, books and any other records of information however compiled, recorded or stored, whether in a written or printed form, on microfilm or in any other form;

(j) “foreign company” means a company not being a local company;

(k) “health insurance organisation” means a person engaged in the business of undertaking liability in respect of funding healthcare, by way of insurance;

(l) “health membership organisation” means a person engaged in the business of undertaking liability in respect of funding healthcare, by way of membership;

(m) “insurance” includes assurance and reinsurance;

(n) “insurance agent” means a person appointed and authorised by an insurer to solicit applications for insurance or negotiate for insurance coverage on behalf of the insurer and to perform other functions that may be assigned to him or her by the insurer, and who in consideration for his or her services receives Authority from the insurer;

(o) “insurance broker” means a person—

(i) not being an agent; and

(ii) acting as an independent contractor for Authority or other remuneration, who solicits or negotiates insurance business on behalf of an insured or prospective insured other than himself or herself;

(p) “insurance surveyor” means a person who engages in surveying risks and in advising on the rate and terms and conditions of premiums;

(q) “insurer” includes reinsurer;

(r) “intermediary” means a person who invites other persons to make offers or proposals or to take other steps with a view to entering into a contract of insurance with an insurer, but does not include a person who merely publishes an invitation to the order of another person;

(s) “licence” means a licence issued under this Act;

(t) “life insurance fund” means the total of the reserves specified under section 47(3);

(u) “local company” means a company registered or incorporated under the Companies Act in which the majority shares and actual controlling interest are held by citizens of Uganda;

(v) “loss adjuster” means a person registered under this Act to undertake the business of professional loss adjustment for and on behalf of an insurer, an insured or any other person and who may in addition settle claims on behalf of an insurer;

(w) “loss assessor” means a person licensed under this Act to undertake the business of assessing and investigating losses and who may settle losses on behalf of an insurer or an insured;

(x) “micro insurance” means insurance for the protection of low-income people against specific perils in exchange for regular premium payments proportionate to the likelihood and cost of risk involved;

(y) “Minister” means the Minister responsible for finance;

(z) “mutual insurance company” means a company of which by its constitution only policyholders are members of the company and which has no share capital;

(aa) “non-life insurance fund” means the total of reserves specified under section 47(2);

(ab) “person” includes any company or association or body of persons corporate or unincorporated;

(ac) “premium” means the consideration for entering into an insurance contract;

(ad) “principal officer” means an officer responsible for the general control and supervision of the insurance business of a person licensed under this Act;

(ae) “reinsurance business” means a business of undertaking liability to pay money to insurers or reinsurers in respect of contractual liabilities in respect of insurance business incurred by insurers or reinsurers and includes retrocession;

(af) “reinsurer” means a person who carries on reinsurance business and includes a retrocessionaire;

(ag) “retrocession” means the reinsurance of reinsurance business accepted by a reinsurer;

(ah) “retrocessionaire” means a person reinsuring a reinsurer.

(ai) “risk manager” means a person who does the business of minimising losses which arise from unforeseen events and who minimises the cost of the losses by arranging physical or financial measures through insurance or any other means;

(aj) “Tribunal” means the Insurance Appeals Tribunal established under Part VIIIA of this Act.

3. Use of the word “insurance” and persons to carry on insurance business.

(1) No person, other than a person licensed to operate under this Act, shall use the word “insurance”, “assurance” or “reinsurance” or any derivations in English or any other language as part of his or her business name.

(2) No person, other than a person licensed as an insurer under this Act, shall issue any insurance policy on—

(a) persons who at the time of effecting a contract are residents of Uganda;

(b) goods or assets situated in Uganda;

(d) goods imported from other countries except personal effects and donations.

4. Insurers to be bodies corporate.

No person shall carry on insurance business in Uganda except—

(a) a company incorporated under the Companies Act;

(b) an insurance corporation established by law;

(d) a mutual insurance company.

5. Classification of insurance business.

(1) For purposes of this Act, insurance business shall comprise—

(a) life insurance;

(b) non–life insurance consisting of the following classes—

(i) fire insurance;

(ii) burglary insurance;

(iii) personal accident insurance;

(iv) employers liability insurance;

(v) public liability insurance;

(vi) marine hull insurance;

(vii) marine cargo insurance;

(viii) aviation insurance;

(ix) motor vehicle insurance;

(x) crops, fishing and livestock insurance;

(xi) bonds;

(xii) contractors all risks insurance;

(xiii) machinery breakdown and installation and boiler explosion insurance;

(xiiia) health insurance;

(xiiib) health membership;

(xiiic) micro insurance;

(xiiid) bancassurance;

(xiv) any insurance other than specified above;

(2) No person shall transact the business of life insurance and non-life insurance as a composite company.

6. Minimum capital requirements.

(1) No local company shall be licensed as an insurer or if licensed shall have its licence renewed unless it has maintained at all times a paid-up capital of not less than—

(a) 200,000 currency points, in the case of a life or non-life insurance business;

(b) 500,000 currency points, in the case of a reinsurance business.

(2) No foreign company shall be licensed as an insurer or if licensed have its licence renewed unless it has maintained at all times a paid-up capital of not less than—

(a) 50,000,000 currency points in the case of a life or non-life insurance business;

(b) 1,250,000 currency points in the case of a reinsurance business.

(3) The paid-up capital of an insurer as described in subsections (1) and (2) above may—

(a) be invested in such assets in Uganda as the central bank shall approve;

(b) consist solely of ordinary shares each of which has the same value.

(3a) Notwithstanding subsections (1) and (2), a health insurance organisation, a health membership organisation, a micro insurance organisation or an insurance company set up for the purposes of regional cooperation shall have a paid up capital as may be prescribed by regulations.

(4) Every insurer shall transfer from its profits each year, before any dividend is declared and after provision has been made for taxation, a sum of 5 percent of the profits, to be paid-up capital of the insurer to facilitate capital base growth.

(5) The Minister may, on the recommendation of the Authority and by statutory instrument, amend the minimum paid-up capital or security deposit requirements under such terms and conditions as he or she may determine.

7. Security deposits.

(1) Every insurer shall hold in an account maintained by the insurer for the purpose, a security deposit of at least 10 percent of the capital of the insurer.

(2) The deposit made under this section shall be considered part of the assets in respect of the capital of the insurer.

(3) The deposits made under subsection (1) shall be invested by the insurer in Government securities or any other investment as may be approved by the Authority.

(4) All income accruing from a deposit made under this section shall be payable to the insurer making the deposit.

8. Use of the security deposit.

The security deposit made under section 7 shall be available to the insurer in the following circumstances—

(a) where an insurer suffers a substantial loss arising from liability to claimants and the loss is such that it cannot be met from its available resources, the Authority may, after ascertaining the nature of the claim and upon application made by the insurer, approve the withdrawal from the security deposit of the insurer of an amount of not more than 50 percent of the security deposit; and any amount withdrawn shall be replaced by the insurer not later than 90 days after the date of the withdrawal;

(b) in the event of closure or winding up of the insurance business, the security deposit shall first be utilised for the discharge of any liabilities arising out of policies transacted by the insurer which are undischarged at the time of closure or winding up of the insurance business.

9. Formation of mutual insurance companies.

(1) Any 25 persons but not more than 300 may, by subscribing their names to a memorandum of association, form a mutual insurance company.

(2) The memorandum of association shall state—

(a) the insurance business or any class of the insurance business which is to be carried on;

(b) the name of the company, including the expression “mutual insurance company” in that name;

(d) the limitation of liability of its members;

(e) the amount of guarantee capital;

(f) the rights of the contributors towards the guarantee capital;

(g) the methods of clearing the guarantee capital;

(h) the particulars of the governing body of the company;

(i) the method of distributing surplus;

(j) the articles and rules governing the company.

(3) Where a person desires to become a member of a mutual insurance company, he or she shall enter into the instrument of subscription for members, the subject matter and the amount of insurance desired; and he or she shall affix his or her signature to the instrument.

(4) An application for licensing a mutual insurance company under this Act shall be made within a period that may be prescribed by the Authority.

10. Capital requirement of mutual insurance companies.

(1) Sections 6 and 7 shall not apply to a mutual insurance company.

(2) The capital requirement of a mutual insurance company shall be the assets of the company and a surplus of not less than 15 percent of its assets over its liabilities or such other percentage that may be determined by the Authority.

11. Board of directors of an insurance company.

(1) Every insurer shall furnish the Authority with the names and addresses of its board of directors, senior executive and technical personnel.

(2) An insurer shall, within 14 days after the event, notify the Authority, in writing, of any change in the board of directors, senior executive and technical personnel.

(3) A member of the board of directors of an insurance company shall not at the same time serve as a member of the board of directors of another insurance company or of an insurance brokerage company in Uganda.

12. Disqualification of an officer of an insurance company.

(1) No person shall, without the express authority of the Authority, act or continue to act for an insurance company or be directly or indirectly involved in the management of an insurance company—

(a) who has been an officer of, or directly responsible for the mismanagement of an insurance company, insurance brokerage company, financial institution, security brokerage company or any other investment concern;

(b) who has been convicted by a court of competent jurisdiction or tribunal of any offence involving fraud or dishonesty;

(c) who has been adjudged or declared bankrupt by a court of competent jurisdiction or who compounds with his or her creditors.

(2) No person holding 5 percent or more of the proprietary interests in any one insurance company shall serve as a management person or a principal officer of an intermediary licensed under this Act.

(3) No person holding 5 percent or more of the proprietary interest of any insurance company shall own more than 50 percent of the equity share of an intermediary licensed under this Act.

13. Head office and branches.

(1) An insurer shall maintain a head office in Uganda and shall notify the Authority of the location and address of the head office, in writing.

(2) No insurer shall open a new branch or agency or close down or change the location of its branch or agency without the approval, in writing, of the Authority.

PART II
THE UGANDA INSURANCE AUTHORITY.

14. Establishment of the Authority.

(1) There is established the Insurance Regulatory Authority of Uganda which shall be a body corporate with perpetual succession and a common seal and may sue or be sued in its corporate name.

(2) The application of the seal shall be as is provided in the Schedule to this Act.

(3) The Authority may for and in connection with its functions and objects hold, manage and dispose of any property, whether movable or immovable, and may enter into any contract or other transaction as may be expedient.

15. Objects and functions of the Authority.

(1) The object of the Authority is to ensure the effective administration, supervision, regulation and control of the business of insurance in Uganda.

(2) The functions of the Authority shall be to—

(a) establish standards for the conduct of insurance and reinsurance business;

(b) license all persons involved in or connected with insurance business, including insurance and reinsurance companies, insurance and reinsurance intermediaries, loss adjusters and assessors, risk inspectors and valuers;

(d) approve minimum rates of insurance premiums and maximum commissions in respect of all classes of insurance;

(e) safeguard the rights of insurance policyholders and insurance beneficiaries to any insurance contract;

(f) receive complaints from members of the public on the conduct of a person licensed under this Act and arbitrate and grant restitution to the complainant, as may be possible;

(g) advise the Government on adequate insurance protection and security for national assets and national properties;

(h) promote a sound and efficient insurance market in the country;

(i) supervise and control transactions between insurers and reinsurers;

(j) ensure strict compliance with this Act and regulations made under it and any other law relating to insurance; and

(k) undertake other functions as the Minister may designate.

16. Minister to give directions.

The Minister may give directions of a general nature to the Authority on matters of policy, and the Authority shall give effect to the directions.

17. Composition of the Authority.

(1) The Authority shall consist of persons appointed by the Minister as follows—

(a) a chairperson, who shall not be a director, employee or shareholder of any insurer, intermediary, loss assessor or loss adjuster;

(b) a deputy chairperson who shall have the qualifications under paragraph (a);

(ba) a representative of the Ministry responsible for finance, who shall be at the rank of director;

(d) a representative of the Governor of the Bank of Uganda;

(e) a representative of the Insurance Institute of Uganda, who shall not be a director, employee or shareholder of any insurer, intermediary, loss assessor or loss adjustor;

(f) a person nominated by the Minister responsible for health, who shall not be a director, employee or shareholder of any person licensed under this Act;

(g) one other person.

(2) A member of the Authority other than the Chief Executive Officer may hold office for a period of three years and shall be eligible for reappointment.

(3) A member of the Authority may resign his or her office in writing addressed to the Minister and may be removed from office by the Minister for inability to perform the functions of his or her office.

(4) If a member of the Authority dies, resigns or otherwise vacates office before the expiry of the term for which he or she was appointed, the Minister may appoint another person in his or her office; and the person appointed shall hold office for the unexpired period of the term of office of the person in whose place he or she is appointed, and he or she shall be eligible for reappointment.

(5) Members of the Authority shall be paid allowances that the Minister may determine.

(6) A member of the Authority shall not disclose any information, or use any proprietary information, concerning a person licensed under this Act, obtained in the course of performance of his or her duties as a member of the Authority, for the purposes of attaining a business advantage or personal financial gain.

18. Provision relating to the chairperson.

If the chairperson or deputy chairperson becomes a director, employee or shareholder of an insurer, intermediary, loss assessor or loss adjuster, he or she shall inform the Minister of the fact within 15 days of the event; and he or she shall cease to be the chairperson or deputy chairperson on the expiry of the 15 days.

19. Meetings of the Authority.

Meetings of the Authority shall be conducted as is provided in the Schedule to this Act.

20. Committees of the Authority.

(1) The Authority may, for the discharge of its functions, appoint committees that may be necessary, consisting of members or nonmembers of the Authority or both, and may assign to any of the committees any functions as the Authority may determine.

(2) The Authority shall appoint a member of the Authority to be chairperson of any of the committees under section (1).

(3) Members of the committees established under section (1) shall be paid allowances that the Authority may determine.

Staff of the Authority.

21. The Chief Executive Officer.

(1) There shall be a Chief Executive Officer who shall be appointed by the Minister on the recommendation of the Authority on terms and conditions that the Authority may determine.

(2) The Chief Executive Officer shall—

(a) be a person with qualifications of considerable knowledge, experience and competence in the insurance business and general administration; and

(b) not be a director, employee or shareholder of any insurer, intermediary, loss assessor or loss adjuster.

(2a) The Chief Executive Officer shall hold office for a term of five years and shall be eligible for reappointment.

(2b) The Chief Executive Officer shall be removed from office where he or she—

(a) is guilty of grave misconduct or willful neglect in the discharge of his or her duties;

(b) is adjudged bankrupt or fails to make any arrangements or composition with his or her creditors;

(d) is convicted of a criminal offence which affects his or her position as the Chief Executive Officer;

(e) becomes permanently incapacitated by accident or ill health from performing his duties for a period of six consecutive months or an aggregate period of nine months in a financial year; or

(f) fails to perform his or her duties and obligations as specified in the terms and conditions specified by the Authority.

(3) The Chief Executive Officer shall be the chief executive officer of the Authority and shall be responsible to the Authority.

(4) Subject to this Act and the general supervision and control of the Authority, the Chief Executive Officer shall be responsible for the day-to-day operations of the Authority and for the administration, organisation and control of the staff of the Authority.

(5) The Chief Executive Officer shall, from time to time, in writing, keep the Authority and the Minister informed of the progress of insurance business in Uganda and of the operations of the Authority.

22. Secretary to the Authority.

(1) There shall be a secretary to the Authority who shall be appointed by the Authority on terms and conditions that the Authority may determine.

(2) Section 21(2)(b) shall apply to the secretary.

(3) In addition to any other functions that may be conferred upon the secretary by the Authority or Chief Executive Officer, the secretary shall—

(a) take the minutes of the meetings of the Authority and its committees; and

(b) keep the records of all the activities of the Authority and its committees.

(4) In the performance of his or her functions, the secretary shall be responsible to the Chief Executive Officer.

23. Other staff.

The Authority may have other officers and staff as it may, in consultation with the Minister, determine.

Financial provisions of the Authority.

24. Funds of the Authority.

(1) The funds of the Authority shall include—

(a) licence fees payable by insurers and intermediaries, loss assessors and loss adjusters;

(b) grants from the Government or other sources;

(d) loans granted to the Authority;

(e) donations;

(f) such other monies, including fines, that may accrue to the Authority in the discharge of its functions.

(2) Every licensed insurer, reinsurer, insurance or reinsurance intermediary and insurance loss assessor or adjuster shall pay to the Authority an annual contribution of a sum that shall be decided by the Authority in consultation with the Uganda Insurers Association, the Uganda Association of Insurance Brokers and the association representing loss assessors and adjusters.

(3) The financial year of the Authority shall be the same as the financial year of Government.

(4) The Authority is exempted from payment of corporation tax.

25. Credit facilities and borrowing powers of the Authority.

The Authority may—

(a) on the guarantee of the Government, obtain credit facilities from financial institutions that the Minister may approve;

(b) with the approval of the Minister, borrow funds required for carrying out its functions.

26. Accounts and audit of the Authority.

(1) The Authority shall keep proper books of account of all its income and expenditure and proper records in relation to them.

(2) The accounts and records of the Authority shall be kept in accordance with the Public Finance and Accountability Act, 2003.

(3) The accounts of the Authority shall be audited by the Auditor General or an auditor appointed by him or her to act on his or her behalf.

27. Annual reports by the Authority.

The Authority shall, not later than four months after the expiration of each financial year, submit to the Minister an annual report on the activities of the Authority during that financial year, including the audited accounts and the related auditor’s certificate.

PART III
LICENSING OF INSURANCE AND REINSURANCE COMPANIES.

28. Licensing of insurance and reinsurance companies.

(1) No person shall transact insurance or reinsurance business in Uganda without a valid licence granted for that purpose.

(2) Notwithstanding subsection (1), the Authority may authorise the effecting of insurance with a foreign insurer in exceptional circumstances.

(3) No person shall be granted a licence unless his or her principal object is the transacting of insurance or reinsurance business.

(4) No person shall be granted a licence unless the provisions of sections 6 and 7 and the qualification of the directors are fulfilled.

(5) The qualification of the directors shall be as may be prescribed by the Authority.

29. Application for a licence.

(1) A person proposing to transact insurance business shall apply to the Authority, in a prescribed form, for a licence, which application shall be considered by the Authority.

(2) The application referred to under subsection (1) shall contain the following information—

(a) the name and address of—

(i) the proposed company;

(ii) the directors;

(iii) the shareholders;

(b) the nationality and occupation of the directors;

(d) the proposed location of the company’s offices;

(e) the estimated number of employees;

(f) the technical expertise, qualifications, experience, nationality and other relevant information of the proposed management and key staff;

(g) the capital structure and earnings prospects of the insurance company;

(h) business plans, financial plans and earnings forecasts for at least three years certified by an auditor approved by the Authority;

(i) any other information relating to the viability of the insurance company or other matters as the applicant considers relevant to his or her application;

(j) documentary evidence that a sum equivalent to 20 percent of the security deposit to which section 7 refers has been deposited in a commercial bank;

(k) specimens of the proposal forms, policies, contracts, receipts and any other documents to be used in connection with the insurance operations;

(l) the premium rates and rating scales;

(m) the proposed scale of maximum commissions to insurance intermediaries;

(n) details of the proposed reinsurance protection and the company’s net retention in each class of business;

(o) any other document or information that the Authority may require.

(3) An application under subsection (1) shall be accompanied by the memorandum and articles of association, the constitution or rules and a certificate of incorporation of the insurance company where applicable.

(4) Where an application under subsection (1) does not provide all the relevant information or if clarification is necessary, the applicant may be called upon to provide the information or clarification to complete the application.

30. Factors to be considered in an application.

The Authority shall when considering an application for a licence satisfy itself as to—

(a) the financial status and antecedents of the applicant;

(b) the competence and integrity of the proposed management and administration;

(c) the adequacy of the applicant’s capital structure, earning prospects, business plans, financial plans, reinsurance and retention proposals;

(d) whether the public interest would be served by granting a licence.

31. Processing of applications.

(1) The Authority shall, within four months after receipt of a complete application, investigate and prepare a detailed report in respect of each application.

(2) The Authority shall, for the purpose of considering and making a report on an application under subsection (1), appoint a committee of not less than three members of the Authority which committee shall report its recommendations to the Authority in writing.

32. Granting of a licence.

(1) The Authority may—

(a) if it is satisfied that the applicant complies with the provisions of this Act, grant a licence to the applicant, on the payment of the prescribed fee;

(b) refuse to grant a licence and give reasons in writing for its decision.

(2) An insurance licence issued under subsection (1)—

(a) shall remain in force for one calendar year;

(b) may be renewed on application, in the prescribed form and after payment of the prescribed fees; and

(3) The Authority shall communicate its decision under subsection (1) to the applicant within six months from receipt of a complete application.

(4) The applicant may appeal to the Minister within 30 days from the receipt of the communication of the Authority, if aggrieved by the decision of the Authority; and the Minister shall make a decision within 30 days from the date of the appeal.

33. Suspension and revocation of a licence.

(1) The Authority may at any time suspend or revoke the licence of an insurer where it considers that—

(a) it is in the public interest or it is required for protecting policyholders’ interests;

(b) the business of the insurer is not being conducted in accordance with sound insurance principles, practices and ethics as prescribed by the Uganda Insurers Association and filed with the Authority;

(c) the relevant minimum prescribed paidup capital or security deposit requirements specified in Part 1 of this Act, have not been complied with by the insurer or that the net assets of the insurer are below the minimum prescribed paid up capital;

(d) the minimum margin of solvency has not been maintained;

(e) the relevant reserve requirements have not been complied with;

(f) the insurer has not commenced insurance business within 180 days of obtaining a licence to operate;

(g) the insurer has made a false statement to the Authority which statement is material to his or her licensing and which he or she knows or might have known to be false;

(h) a judgment arising out of any insurance liability obtained in any court in Uganda against an insurer remains unsatisfied without good reason for more than 90 days from the date of final judgment;

(i) the insurer has ceased to qualify as an insurer under this Act;

(j) the insurer repeatedly acts in an illegal way or ignores the requirements of the Authority;

(k) the insurer has refused or failed to abide by the decision of the Authority, to settle a claim or complaint in accordance with section 15(2)(f).

(2) The Authority shall, before the suspension or revocation of any licence, give written notice to the insurer requiring the insurer to remedy any breach, and where the breach cannot be remedied, to show cause to the satisfaction of the Authority why the licence should not be suspended or revoked.

(3) Where the licence is suspended or revoked, the Authority shall give notice to the insurer in a prescribed form.

(4) The Authority shall give reasons for its decision under subsection (1).

(5) An insurer may within 30 days from the receipt of the communication of the Authority of the suspension or revocation of his or her licence, appeal to the Tribunal.

(6) Except for purposes of winding up its business, no insurer whose licence has been revoked shall carry on insurance business in Uganda.

(7) An insurer shall not take on any new insurance business or renew any existing policy—

(a) where there is an appeal against a revocation of a licence, until the appeal is decided in favour of the insurer; or

(b) in case of suspension of a licence, until the suspension is over.

(8) The Authority shall publish in the Gazette and a newspaper widely read by the people in the area where the registered office of the affected insurer is located, any revocation or suspension of the licence of the insurer or any reinstatement or relicensing of the affected insurer, as soon as is practicable.

33A. Licensing of health insurance organisations and health membership organisations.

(1) A person proposing to transact business as a health insurance organisation or a health membership organisation shall be licensed as such by the Authority.

(2) Health insurance organisations and health membership organisations shall be regulated in accordance with regulations made under this Act, in consultation with the Minister responsible for health and other stakeholders.

PART IV
CONDUCT AND OPERATION OF INSURANCE.

34. Credit on premiums.

(1) An insurer shall not allow credit on the premium payable for more than 30 days from the date of the inception or renewal of the policy and may, subject to the provisions of the policy, opt out of the risk, except where the business emanated from an insurance broker licensed under this Act.

(2) Where the insured fails to pay the premium within the period provided under subsection (1), the policy shall be avoidable and the insurer shall be entitled to recover the expenses incurred.

(3) Where an insurer allows credit on premium under a policy, the insurer shall be liable to pay any claims that may arise from the policy.

35. Approval of policy format forms, etc.

(1) An insurer shall not issue any policy of insurance unless—

(a) the text or format of the policy;

(b) the proposal forms; or

(c) the premium rates, rating scales and Authority rates, have been approved by the Authority as suitable for the purpose of the insurance business it is meant for.

(2) No alteration of any text or format of the policy, premium rates, rating scale, Authority scale, proposal form or other document approved under subsection (1) shall be made without the prior approval of the Authority.

36. Alteration of approved premium rates without approval.

(1) Where an insurer lowers the approved premium rates in respect of non–life insurance business without the authority of the Authority, the Authority may order the cancellation of the policy issued under the altered premium rates, and a pro-rata refund of the premium in respect of the unexpired period of the risk shall be paid to the insured.

(2) Where an insurer lowers the approved premium rates in respect of life insurance without the authority of the Authority, the Authority may order the insurer—

(a) to refund any excess premium charged as a result of the alteration; or

(b) to pay any amount undercharged as a result of the alteration.

37. Authority payable to licensed intermediaries.

(1) No insurer shall pay any Authority or remuneration to any intermediary who is not licensed under this Act.

(2) An insurer who violates this section is liable to a fine of 20 percent of the premium received or the fine imposed under section 97(4)(b), whichever is higher.

38. Modification of memorandum and articles of association.

(1) Any insurance, reinsurance, insurance broking or reinsurance broking company shall not make any modification in its memorandum or articles of association or other document under which the company was established without the approval of the Authority.

(2) A company referred to under subsection (1) shall forward a notice of intention to make modifications at least 21 days before the date on which the modification is intended to be made, stating the nature of modification to be made; and if no response is made by the Authority within the 21 days of the notice, the company may effect the modification.

39. Records to be kept in English.

(1) An insurer shall keep records of its business transacted in and outside Uganda as may be prescribed by regulations.

(2) Books of account, registers, reports, premium rates, prospectuses, policies, proposal forms, claims, certificates and other forms and documents concerning insurance and reinsurance operations or of insurance and reinsurance broking shall be in English.

40. Prohibition of misleading advertisements.

Any person who—

(a) by advertisement, statement, promise or forecast which he or she knows to be misleading, false or deceptive;

(b) by dishonest concealment of facts; or

concludes or offers to enter into a contract, transaction or arrangement with an insurer or any other person relating to insurance business commits an offence and is liable to a fine not exceeding 50 currency points.

41. …

42. Restriction on loans to officers and directors.

(1) No insurer shall give a loan to an officer or director of the insurer except—

(a) a loan on a life policy limited to the policy’s surrender value, where the right to borrow the same amount is also provided to the other policy holders of that class; or

(b) a loan forming part of the terms and conditions of service of that officer or director, repayable within three years.

(1a) Notwithstanding subsection (1), the total aggregate of the loan given to a director of an insurer shall not exceed 10 percent of the paid up capital of the insurer.

(2) An insurer who grants or an officer or director who receives a loan contrary to subsection (1) commits an offence and is liable to a fine double the amount of the loan given.

43. Prohibition of loans to associate companies.

An insurer, a reinsurer, an insurance broker or a reinsurance broker shall not grant a loan, directly or indirectly, to a company in which the directors or officers and employees of that insurer, reinsurer, insurance broker or reinsurance broker hold more than one-third of the shares of that company.

44. Margin of solvency.

(1) The solvency margin of an insurer shall be—

(a) in the case of an insurer carrying on life insurance, the liabilities of the insurer shall not exceed the amount of the life insurance fund of the insurer;

(b) in the case of non-life insurance business or reinsurance, the admitted assets of the insurer shall exceed the greater of—

(i) the admitted liabilities of the insurer, by a minimum of 15 percent of the premium income, net of reinsurance sessions; or

(ii) such sum as may be prescribed by the Authority, in consultation with the Minister.

(2) The Authority may, by regulations, prescribe the method for calculating assets and liabilities of an insurer for purposes of this section.

45. Statement by insurer.

No insurer may publish a statement or issue a document on which is printed—

(a) the authorised capital of the insurer unless the statement shows, in addition, the amount of the capital which has been subscribed and the amount paid up; or

(b) the subscribed capital of the insurer unless the statement shows, in addition, the amount of the capital paid up.

46. Separation of insurance funds.

(1)…

(2) Each insurance fund shall represent the liabilities in respect of all policies of that particular business.

(3) The investments of the life fund shall be kept separate from the investments of the non–life insurance fund of the insurer.

(4) The insurance fund of each particular business—

(a) shall be absolutely for the security of the policyholders of that insurance business and shall be held by the insurer as if that insurer is not carrying on any business other than that insurance business;

(b) shall not be applied for any liability arising out of any contract which is not applicable to that particular insurance business; and

47. Insurance reserves.

(1) An insurer shall establish and maintain in respect of each class of insurance business the following reserves—

(a) reserves for unearned premiums;

(b) reserves for outstanding claims;

(2) An insurer shall maintain with respect to non-life insurance business, the following reserves—

(a) reserves for unearned premiums, amounting to not less than 40 percent of the total net premiums or such other amount as the Authority may decide;

(b) reserves for outstanding claims, a sum equal to the total estimated amount of all outstanding reported claims together with an additional amount of not less than 15 percent of the total amount of outstanding reported claims, in respect of claims incurred but not reported at the end of the last preceding year or such amount as the Authority may determine;

(c) a contingency reserve, which shall not be less than 2 percent of the gross premium income or 15 percent of the net profits, whichever is the greater, or such other amount as the Authority may decide; and that reserve shall accumulate until it reaches the minimum paid-up capital or 50 percent of the net premiums, whichever is the greater or such other amount as the Authority may decide.

(3) An insurer shall maintain with respect to life insurance business the following reserves—

(a) a general reserve fund which shall be credited with an amount equal to the net liabilities on policies in force at the time of the actuarial valuation; and

(b) a contingency reserve which shall be credited annually with an amount equal to 1 percent of the premiums.

(4) For purposes of this section, “net premiums” means gross premiums less reinsurance premiums.

48. Investments.

(1) An insurer shall at all times in respect of insurance business transacted in Uganda invest and hold invested in Uganda assets equivalent to not less than the amount of funds in the insurance business as shown in the balance sheet.

(2) Subject to any other provision of this Act, the investment of funds referred to under subsection (1) shall be made up as follows—

(a) in respect of the life insurance fund—

(i) 30 percent in Government securities;

(ii) 70 percent in such other investments as shall be approved by the Authority;

(b) in respect of the non-life fund—

(i) 20 percent in Government securities; and

(ii) 80 percent in such other investments as shall be approved by the Authority.

(3) The Authority may, in consultation with the central bank, vary the percentages of the insurance fund to be invested under this section.

49. Accounts, etc. to be furnished to the Authority.

(1) An insurer shall within 90 days after the end of the financial year, prepare and furnish to the Authority, in the prescribed form—

(a) …

(b) a balance sheet and profit and loss account duly audited by an auditor approved by the Authority, showing the financial position of the insurance business at the close of that year;

(d) a certified copy of the revenue account in respect of any non–life insurance business carried on by the insurer in that year;

(e) copies of the board and management reports on the affairs of the insurer for the financial year as submitted to the policyholders or shareholders of the insurer duly signed and certified;

(f) an analysis of the investments, deposits and expenses of management separately for life and non–life business; and

(g) such other documents and information relating to the relevant accounts and balance sheet as the Authority may require.

(1a) An insurer shall within 120 days after the end of each financial year, prepare and furnish to the Authority, in the prescribed form, a certificate as to the insolvency of the insurer, signed in the case of the life insurer by an actuary or any other person authorised by the Authority.

(2) An insurer shall each year furnish the Authority, as may be required by the Authority, with all essential information regarding its capitalisation, its reserves, the classes of insurance business it carries on and such other information as the Authority may require.

50. Amendment of accounts.

(1) Where in the opinion of the Authority an account or balance sheet furnished by an insurer under section 49 does not show a true and fair view of its affairs or is not prepared as prescribed, the Authority may, by notice in writing, call upon the insurer to amend the account or balance sheet or to furnish a correct account or balance sheet, as the case may be.

(2) Where an insurer fails to comply with a notice referred to under subsection (1) to the satisfaction of the Authority, the Authority may either amend the account or balance sheet, giving the insurer particulars of the amendment, or it may reject the balance sheet.

(3) An account or balance sheet amended by an insurer or the Authority shall be treated as if it had been originally submitted in its amended form.

(4) Where the Authority amends an account or balance sheet under this section, the insurer may appeal to the Minister if dissatisfied with the amendment.

(5) An appeal under subsection (4) shall be lodged within 30 days after receipt by the insurer of the amended account or balance sheet.

(6) The Minister shall make his or her decision within 30 days from the date of the appeal.

51. Auditing of accounts and auditors.

(1) The accounts of every insurer shall be audited annually by an auditor approved by the Authority.

(2) Where the Auditor General audits the accounts, the Authority’s approval shall not be required.

(3) The auditor shall—

(a) not be an employee, manager, director or shareholder of the insurer;

(b) maintain a professional indemnity policy, as may be determined by the Authority;

(d) audit the accounts of the insurer in an independent and impartial manner.

(3a) The auditor of an insurer shall not audit the accounts of the insurer for a continuous period of more than four years and shall not be eligible for reappointment as auditor, within the preceeding four years.

(4) The auditor shall satisfy himself or herself that the accounts of the insurer have been properly prepared in accordance with the books and records of the insurer.

(5) The auditor shall certify whether—

(a) he or she has obtained adequate information from the books and records of the insurer;

(b) the accounts of the insurer are in accordance with the information given to him or her by the insurer for the purposes of the audit;

(d) the balance sheet and profit and loss account of the insurer give a true and fair view of the insurer’s financial position and profit or loss.

(6) The financial year of every insurer shall be the calendar year.

52. Information to be furnished by an insurer.

(1) An insurer shall prepare and cause to be submitted to the Authority an audited balance sheet within four months after the end of its financial year.

(2) An insurer shall exhibit throughout the year, in a conspicuous place in each of its offices and branches, a copy of its last audited balance sheet with the full and correct names of all persons who are directors of the insurance company; and a copy of the balance sheet shall be published in a local newspaper of general circulation.

53. Statement and exhibit of life policies.

Every insurer shall, at the expiration of each year of business, prepare in the prescribed form with reference to that year—

(a) in respect of the life insurance business carried on by him or her in Uganda a statement and an exhibit of the policies; and

(b) an exhibit of the life policies issued by him or her which refer to risks emanating from outside Uganda.

54. Appointment of actuary by an insurer.

(1) Every insurer shall, within one month or such other longer period, not exceeding six months, as the Authority may determine, of beginning to carry on long-term business, appoint an actuary as actuary to the insurance business.

(2) Whenever an appointment under subsection (1) comes to an end, the insurer shall, within 14 days, give a written notice to the Authority stating the fact.

(3) The insurer shall, within three months after the appointment comes to an end, appoint another actuary and shall give a written notice to the Authority stating the name, qualifications and experience of the new appointee.

55. Actuarial investigation and report.

(1) Every insurer shall, in respect of the life insurance business carried on by him or her, cause an investigation referring to 90 days or such other shorter period of time as may be prescribed to be made by an actuary into the financial condition of the life insurance business carried on by him or her, including a valuation of his or her liabilities in respect to the life insurance business, and shall cause a report of that actuary to be made in the prescribed form.

(2) Whenever an insurer wishes to distribute profits, he or she shall cause an investigation to be made by an actuary into the financial condition of the life insurance business carried on by him or her, including a valuation of his or her liabilities, and shall act in accordance with the recommendations of the actuary.

(3) The insurer shall, within 120 days after the end of a financial year, send a copy of the report submitted to him or her under subsection (1), to the Authority.

56. Authority to inspect insurer.

(1) The Authority shall inspect the affairs of every insurer at least once in three years.

(2) The Authority may, at any time before the expiry of three years, inspect the affairs of an insurer if it has reason to believe—

(a) that the interests of the policyholders, shareholders or members of the public could be prejudiced;

(b) that the insurer is unable to meet his or her obligations under the Act;

(3) The Authority may appoint competent persons to carry out the inspection on its behalf.

(4) An inspector under this section may question any officer of the insurer under oath.

(5) The insurer shall cooperate with the inspector by providing him or her full access to books, records, files and other documents which are relevant to the inspection, and any person who fails to cooperate with an inspector commits an offence.

(6) The Authority shall inform the insurer of the conclusions reached following the inspection and may require the insurer to comply, within a period it may specify, with any directive it may issue to remedy defects disclosed by the inspection.

PART V
REINSURANCE BUSINESS.

57. Reinsurance.

(1) An insurer can reinsure part of the risks he or she has accepted either under a reinsurance contract or facultatively.

(2) Reinsurance contracts shall contain the minimum stipulations as determined by the Authority.

(3) In the case of reinsurance arranged through a reinsurance intermediary, the contract shall not contain any stipulation which prohibits any direct relationship between the insurer and the reinsurer.

58. Modification in insurer’s net retention.

(1) An insurer shall inform the Authority within 30 days of any modification in the amount of its net retention in all classes of business which it undertakes.

(2) Where the Authority considers the retention submitted under subsection (1) not to be in accordance with the financial standing of the insurer, it may request an explanation of the technical or other reasons for establishing these retentions; and on the basis of the explanation the Authority may order the adjustment of the net retention.

59. Annual reinsurance report.

An insurer and a reinsurance company licensed under this Act shall within 90 days submit to the Authority in a prescribed form—

(a) details of the reinsurance or retrocession contracts;

(b) details of the reinsurers or retrocessionaires with whom they maintain business relations in respect of risks falling within the scope of this Act.

60. Prohibition of contracts with certain reinsurance companies.

The Authority may—

(a) after receiving reliable information that a reinsurance company—

(i) cannot meet the reinsurance claims;

(ii) has doubtful integrity in its business dealings; or

(b) for any other reasonable cause, prohibit insurance companies and reinsurance companies under this Act from entering into insurance contracts with that company.

61. Modifications where terms not favourable.

The Authority may after the scrutiny of a reinsurance document direct an insurer, in writing—

(a) to make modifications in its terms and conditions of the contract as it may specify, at the time of the renewal of a reinsurance contract;

(b) not to renew the contract, if the terms and conditions of the contract are not favourable to the insurer or are not in the interest of the economy of Uganda or the insurance industry or are not in the public interest.

62. Negotiations not to be in personal capacity.

No insurance agent, director, administrator, employee or shareholder of an insurance broking company shall negotiate or intervene in the placement of reinsurance in his or her personal capacity.

63. Foreign reinsurance representatives.

(1) A foreign reinsurance company may, with the authority of the Authority, appoint a reinsurance broker or reinsurance company licensed under this Act to be its representative in Uganda for purposes of accepting reinsurance business on its behalf.

(2) The Authority may on granting authority under subsection (1) attach such conditions as it may deem necessary.

(3) Where authority of the Authority is granted under this section, the foreign reinsurance company shall establish and maintain at the central bank a security deposit of 5,000 currency points.

64. Mandatory reinsurance placements with international and national organisations.

(1) An insurer or reinsurer licensed under this Act shall offer to place with—

(a) the African Reinsurance Corporation (Africa-Re), a minimum of 5 percent of its reinsurance cessions, under article 27 of the Agreement that established Africa-Re; and

(b) the Preferential Trade Area Reinsurance Company (ZEP-RE) a minimum of 10 percent of its reinsurance cessions, under articles 20 and 21 of the Agreement that established ZEP-RE.

(2) The provisions of subsection (1) shall not affect the right of Africa-Re, ZEP-RE or the reinsurance company incorporated under subsection (1)(c), to accept or decline all or any part of the minimum reinsurance cessions offered or placed by any insurer or reinsurer.

(3) An insurer or reinsurer who fails to comply with subsection (1) commits an offence and is liable to a fine to be prescribed by the Authority in consultation with the Minister.

(4) Subject to the relevant agreements respectively, the Authority may vary the minimum reinsurance cessions under subsection (1).

(5) The reinsurance company incorporated in accordance with subsection (1)(c) shall have as its shareholders all the insurers licensed under this Act, except an insurer that does not wish to be a shareholder of the reinsurance company.

(6) The shareholding of the reinsurance company and any changes to the shareholding shall be approved by the Authority.

(7) An insurer shall first place reinsurance business with an organisation or company mentioned in subsection (1) or an insurance company licensed under this Act, to the maximum extent possible, before placement of the business outside Uganda.

PART VI
AMALGAMATIONS AND TRANSFERS.

65. Amalgamation and transfer of insurance business.

(1) No insurer may—

(a) amalgamate non–life insurance with the business of another insurer; or

(b) transfer or accept any transfer of non–life insurance to or from another insurer,

unless the amalgamation or transfer is approved by the Authority.

(2) No life insurance business may be amalgamated with or transferred to the life insurance business of another insurer except with the permission of the Authority.

(3) Non–life insurance business may be amalgamated with non– life insurance business.

66. Application for amalgamation or transfer.

(1) Where two or more insurers one of which is licensed under this Act intend to amalgamate or transfer insurance business of any class from one to another—

(a) both insurers wishing to amalgamate, jointly; or

(b) the insurer wishing to transfer business to another insurer, shall apply to the Authority for approval of the amalgamation or transfer, as the case may be.

(2) An application under subsection (1) shall be accompanied by—

(a) the document under which the proposed amalgamation or transfer is to take effect;

(b) the audited accounts and balance sheets of each insurer intending to amalgamate or effect a transfer; and

(3) Where the amalgamation or transfer is in respect of life insurance business, in addition to the requirements under subsection (2), the application shall be accompanied by a report of the likely effect of the amalgamation or transfer to the policyholders, prepared by an actuary approved by the Authority.

67. Notice of amalgamation or transfer.

(1) The parties intending to amalgamate or effect a transfer shall before the application under section 66—

(a) publish a notice of the proposed amalgamation or transfer in the Gazette and at least one English language newspaper published in Uganda;

(b) send a notice of the application to all policyholders and claimants of the parties;

(c) make available for inspection at the principal offices of the parties a statement detailing the particulars of the amalgamation or transfer, including, in the case of life insurance business, the actuarial report under section 66(3) for at least 30 days.

(2) The notice referred to under subsection (1) shall invite any person who has reasonable ground to believe that he or she would be adversely affected by the amalgamation or transfer to make written representation to the Authority, stating reasons, within 30 days from the last day of publication.

68. Conditions for approval of transfer.

(1) The Authority shall not approve an application for a transfer of life insurance business unless the transaction involves the transfer of assets relating to the life insurance business proposed to be transferred in accordance with this section.

(2) If the transfer covers all life insurance business of the transferor, all assets representing the statutory fund maintained by the transferor shall be transferred.

(3) If the transfer applies to a part of the life insurance business of the transferor, the approved proportion of the assets representing the statutory fund maintained by the transferor shall be transferred.

69. Decision of the Authority on amalgamation or transfer.

(1) The Authority may, after considering the documents required under section 66, approve or refuse the proposal for amalgamation or transfer subject to terms and conditions it may consider necessary.

(2) The Authority shall make its decision under subsection (1) within six months from the date of publication; and if no communication is received by the parties within that period, the parties shall effect the amalgamation or transfer.

(3) After a decision is made under subsection (1), the Authority shall—

(a) publish its decision in the Gazette and in one English language newspaper published in Uganda; and

(b) send a copy of its decision to the parties to the amalgamation or transfer and any person who made a representation under section 67.

(4) Where the Authority refuses an amalgamation or transfer, it shall, in writing, give reasons for the refusal to the parties.

(5) A person aggrieved by a decision under this section may appeal to the Minister within 30 days from the date on which the notice of the decision is received by him or her, and the Minister shall make his or her decision within 30 days from the date of the appeal.

(6) For purposes of subsection (5), notice shall be deemed to have been received within seven days from—

(a) the date of the notice to the aggrieved person; or

(b) the date of the publication of the notice in the Gazette and the newspaper,

whichever is the later.

70. Effect of approval of amalgamation or transfer.

(1) Subject to subsection (2), an instrument giving effect to an amalgamation or transfer approved by the Authority shall be effective in law—

(a) to transfer to the amalgamated insurer or transferee all the transferor’s rights and obligations under the policies included in the instruments; or

(b) if the instrument so provides, to secure the continuation by or against the amalgamated insurer or the transferee of any legal proceedings by or against either party to the amalgamation or against the transferor which relate to those rights or obligations, notwithstanding the absence of any agreement or consent which would otherwise be necessary for it to be effective in law for those purposes.

(2) Except where the Authority directs otherwise, a policyholder whose policy is part of the approved amalgamation or transfer shall not be bound by the instrument approving the amalgamation or transfer unless he or she has been given written notice of its execution by either of the insurers involved.

(3) Where an amalgamation or transfer has been approved, the amalgamated insurer or the transferee insurer shall, within 10 days from the date of completion of the amalgamation or transfer, deposit with the Authority certified copies of—

(a) statements of the respective assets and liabilities; and

(b) the documents under which the amalgamation or transfer was effected.

PART VII
INSOLVENCY AND WINDING UP.

71. Winding up.

(1) Notwithstanding anything contained in the Companies Act to the contrary, an insurer carrying on life insurance business shall not be wound up voluntarily except for the purposes of effecting an amalgamation or transfer.

(2) The Authority may petition the court for winding up of the business of an insurer where—

(a) the insurer is carrying on insurance business without being licensed under this Act;

(b) the insurer has not complied with the prescribed paid-up capital or security deposit requirements under Part I of this Act, or where the margin of solvency of the insurer is less than that specified under Part IV of this Act; or

(d) the insurer is not able to meet its obligations to a policyholder under an insurance contract; or

(e) the Authority believes that it is just and equitable and in the interests of the policyholders to wind up the insurer.

(3) The court may, after considering the petition referred to under subsection (2), order the winding up of the insurer if it is of the opinion that there are sufficient grounds for so doing.

(4) Except where it is otherwise provided under this Act, the winding up procedure provided under the Companies Act shall apply.

PART VIIA
COMPENSATION FOR POLICYHOLDERS OF INSOLVENT INSURER.

71A. Policyholders’ Compensation Fund.

(1) There is established a Policyholders’ Compensation Fund.

(2) The Policyholders’ Compensation Fund shall be managed by a board of trustees.

(3) The members of the board of trustees shall be appointed by the Minister.

(4) The composition and the terms and conditions of service of the board of trustees shall be prescribed by regulations made by the Minister.

(5) The money of the Policyholders’ Compensation Fund shall consist of—

(a) premium levied upon insurers licensed under this Act, as may be prescribed;

(b) loans obtained by Government;

(d) money from any other source, approved by the Minister in writing.

(6) The money of the Policyholders’ Compensation Fund shall be used to compensate the policyholders of an insolvent insurer.

PART VIII
INTERMEDIARIES, RISK MANAGERS, LOSS ASSESSORS, LOSS ADJUSTERS, INSURANCE SURVEYORS AND CLAIMS SETTLING AGENTS.

72. Brokers, agents, etc. to be licensed.

(1) No person shall carry on the business of an insurance or reinsurance broker, an insurance agent, a risk manager, a loss assessor, a loss adjuster, an insurance surveyor or a claims settling agent unless he or she is licensed for that business by the Authority.

(2) An administrator, manager, auditor or employee of an insurance company shall not act as the broker, agent, risk manager, loss assessor or adjuster, surveyor or claims settling agent of that company.

(3) No person shall use the name of insurance broker or agent, risk manager, loss assessor or adjuster, insurance surveyor or claims settling agent unless he or she is licensed to carry on that business under subsection (1).

73. Brokers to be bodies corporate.

No person other than a company incorporated under the Companies Act shall carry on business as an insurance broker.

74. Application and qualifications for a licence.

(1) An application for a licence under section 72 or renewal of a licence shall be in a form prescribed by the Authority.

(2) The qualifications for obtaining a licence under section 72 shall be prescribed by the Authority.

75. Disqualifications.

The Authority shall not grant a licence or renew a licence for a broker, agent, risk manager, loss assessor, loss adjuster, insurance surveyor or claims settling agent if the applicant—

(a) has been found to be of unsound mind by a court of competent jurisdiction;

(b) has ever been convicted of an offence relating to fraud or dishonesty;

(c) has at any time within the five years preceding the date of his or her application become bankrupt, applied to take the benefit of the law for the relief of bankrupt or insolvent debtors, compounded with his or her creditors or made an assignment of his or her remuneration for their benefit;

(d) being a broker is a director of an insurer.

76. Licence and renewal of a licence.

(1) Where the Authority is satisfied that—

(a) the financial standing of the applicant is sound;

(b) the knowledge, skill and experience of the principal officer are adequate;

(d) the applicant is not disqualified under this Act;

(e) the applicant is and is likely to continue to be able to comply with the provisions of this Act and the regulations and directions made or issued under this Act as are applicable to the applicant;

(f) the prescribed fee has been paid, the Authority may, subject to terms and conditions that it considers necessary, issue a licence to or renew a licence of an applicant under this Part of the Act.

(2) A licence shall be issued for a calendar year and may be renewed for one calendar year on each renewal.

77. Processing and granting of a licence.

Sections 31 and 32 shall apply to an insurance or reinsurance broker, agent, risk manager, loss assessor, loss adjuster, insurance surveyor or claims settling agent.

78. Revocation or suspension of an intermediary’s licence, etc.

(1) The Authority—

(a) may revoke or suspend a licence of any insurance or reinsurance broker, risk manager, loss assessor, loss adjuster, insurance surveyor or claims settling agent on any ground on which it could have refused to grant the licence;

(b) shall cancel the licence of any broking company or adjuster who fails to satisfy the paid-up capital and security deposit requirements under section 79.

(2) The Authority may impose fines, suspend a licence or revoke a licence of any intermediary, depending on the gravity of the offence where—

(a) there is breach of professional etiquette;

(b) discounts are given which are not provided for under the authorised premium rates;

(d) terms and conditions are offered which are not included in the policies and endorsements;

(e) quotations are given in the intermediary’s own name without the authority of the insurers;

(f) monies received in payment of a premium are used for an intermediary’s own benefit or the benefit of third parties, or have not been paid to the insurer in accordance with this Act;

(g) the intermediary ceases to carry on business;

(h) the prescribed fees payable to the Authority remain unpaid;

(i) the intermediary is adjudged to be bankrupt by a court.

(3) Before revoking or suspending any licence, the Authority shall give notice in writing to the person concerned stating the reasons for the proposed revocation or suspension and shall afford the person an opportunity to be heard.

(4) Before invoking the provisions of subsection (2), the Authority shall have given written warning for a period to be specified by regulations made under this Act.

(5) A person aggrieved by a suspension of a licence under this section, may within 30 days from the receipt of the communication of the suspensions from the Authority, appeal to the Tribunal.

(6) Where in the interest of the policyholders circumstances warrant immediate action, the Authority may revoke or suspend a licence without giving any notice to the person concerned.

(7) Notice of the revocation of the licence shall be advertised by the Authority in the Gazette and an English language daily newspaper widely read by people where the affected intermediary has an office.

79. Insurance broker’s and loss adjuster’s paid-up capital.

(1) No insurance broking company shall carry on the business of insurance broking unless it maintains at all times while carrying on that business a prescribed paid-up capital of not less than 5,000 currency points of which 125 currency points shall be deposited as security deposit.

(1a) The deposit made under subsection (1) shall be considered part of the assets in respect of the capital, of the insurance broking company.

(1b) The deposits made under subsection (1) shall be invested by the insurance broking company in Government securities or in any other investment as may be approved by the Authority, and on which the Authority shall have a lien.

(1c) The security deposit made under subsection (1) shall be available to the insurance broking company in accordance with section 8.

(1d) Any income that may accrue from the security deposit shall be payable to the insurance broking company that makes the security deposit.

(2) No loss adjuster shall carry on the business of loss adjuster unless the adjuster maintains at all times while carrying on that business a professional indemnity policy of not less than 5,000 currency points.

(3) The Minister may on the advice of the Authority by statutory instrument amend the prescribed paid-up capital, the security deposit or the professional indemnity policy provided under this section.

80. Persons not to act as agents.

(1) No person shall act as an insurance agent who—

(a) is a civil servant or an employee of a local government;

(b) is an administrator, manager, director, auditor or employee of any—

(i) insurance or reinsurance company;

(ii) reinsurance broking company; or

(iii) …

(d) in the opinion of the Authority, lacks the minimum knowledge, skill or experience in the insurance business or whose financial stand does not measure to the requirements.

(2) An insurance agent shall not act for two or more insurers transacting the same class of insurance business.

(3) For the avoidance of doubt, an insurance agent may act for one insurer transacting life business and one insurer transacting non-life business but not for two or more insurers transacting the same class of insurance business.

(4) Subsection (2) shall not apply to bancassurance.

81. Agents and brokers not to engage in loss adjusting, etc.

(1) An insurance agent shall not engage in the business of reinsurance, insurance broking, risk inspection, loss adjusting or be a director in any company engaged in the above businesses.

(2) An insurance broker shall not engage in the business of risk inspection or loss adjusting or be a director in any company engaged in any of the above business.

82. Intermediaries to deal with licensed companies.

No insurance intermediary shall place insurance business with an insurance company which is not licensed under this Act.

82A. Auditing of accounts and auditors.

(1) The accounts of every insurance broker, risk manager, loss assessor, loss adjuster, insurance surveyor and claim settling agent shall be audited annually by an auditor approved by the Authority.

(2) An auditor shall not act as such, under subsection (1), for a continuous period of more than four years.

83. Annual reports and financial statements.

(1) Each insurance broking company shall prepare and submit to the Authority, within three months from the end of each financial year in a prescribed form, annual reports containing—

(a) prescribed particulars relating to all financial transactions undertaken by it during that year;

(b) a certified true copy of its financial statements, an auditor’s certificate and any reports presented to shareholders;

(d) a statement detailing premiums which remain unpaid by the insured for more than 60 days from the date of inception of cover.

(2) Each insurance adjusting company shall prepare and submit to the Authority, within three months from the end of each financial year, in a prescribed form, annual reports containing—

(a) prescribed particulars relating to all financial transactions undertaken by it during that year;

(b) a certified true copy of its financial statements, an auditor’s certificate and any reports presented to shareholders; and

(3) A risk manager, loss assessor, loss adjuster, insurance surveyor and claim settling agent shall, in accordance with international financial reporting standards adopted by the Institute of Certified Public Accountants of Uganda, keep proper books of accounts for all the income and expenditure of the risk manager, loss assessor, loss adjuster, insurance surveyor or claim settling agent.

83A. Authority to inspect insurance brokers, loss assessors and loss adjusters.

(1) The Authority shall inspect the affairs of insurance brokers, loss assessors and loss adjusters at least once, every three years.

(2) The Authority may, at any time before the expiry of three years, inspect the affairs of an insurance broker, a loss assessor or a loss adjuster where the Authority has reason to believe that—

(a) the interests of the policyholders or shareholders of the insurer or of members of the public may be prejudiced;

(b) the insurance broker, loss assessor or loss adjuster is unable to meet his or her obligations under this Act;

(3) The Authority may appoint a competent person to carry out an inspection under this section, on its behalf.

(4) A person appointed to carry out an inspection under this section may question an insurance broker, loss assessor or loss adjuster or an officer of any of these persons, under oath.

(5) The Authority shall inform the insurance broker, loss assessor or loss adjustor of the conclusions reached following the inspection and for the purpose of remedying the defects identified by the inspection, may require the insurance broker, loss assessor or loss adjuster to comply, within a period the Authority may specify, with any directive it may issue.

84. Submission of statements to insurers.

Where the Authority raises no objection to the financial statement, individual agents and insurance broking companies shall send copies of the statements to all licensed insurers with whom they have business relationships within 90 days of their presentation.

85. Records to be kept.

(1) Every insurance agent, insurance or reinsurance broker, risk manager, loss assessor, loss adjuster, insurance surveyor or claims settling agent shall keep records of all insurance transactions undertaken.

(2) Records kept under subsection (1) shall contain particulars of the names and addresses of the insured persons and the insurer, the nature of coverages, premiums collected and any other particulars that may be prescribed by the Authority.

86. Advertisement.

Section 40 shall apply to a company under this Part of the Act in relation to advertisements.

87. Payment of premium.

(1) An insurance broker shall pay to insurers all premiums collected on their behalf within 30 days from receipt of the premiums.

(1a) Where an insurance broker does not pay a premium collected, as required under subsection (1), the insurance broker shall within 14 days after the expiry of the period specified for making the payment, submit to the insurer, the details of the client from whom the premium is collected.

(1b) Where a premium continues to be outstanding 60 days after it is due, the policy shall be voidable at the instance of the insurer.

(1c) The insurance broker shall be required to pay the premium which is due and interest on the premium, to the insurer and a penalty to the Authority, at rates to be determined by the Authority.

(1d) An insurance broker who does not pay to the insurer a premium collected on behalf of the insurer, commits an offence and shall on conviction be liable to a fine of not less than 500 points.

(2) Where a premium is received in full, a broker shall not make partial payment unless the insurance contract specifically provides.

88. Insurance agent’s Authority.

(1) Insurance intermediaries shall be remunerated by insurers solely by way of Authority and other approved incentive or bonus schemes paid in accordance with the Authority scales and plans approved by the Authority.

(2) Any form of incentive or bonus schemes offered by insurers to insurance agents must have the prior approval of the Authority.

89. Loans to insurance agents.

No insurance agent shall, without the prior approval of the Authority, have at any time, a loan outstanding to an insurance company, which is in the excess of an aggregate of 100 currency points.

90. Portfolio transfer.

(1) An insurance intermediary may transfer his or her portfolio to another intermediary, provided that prior approval is obtained from the Authority.

(2) The Authority shall not approve a transfer unless it is satisfied that the transferor has settled all financial obligations with all insurance companies with which there are dealings, prior to the transfer.

(3) A portfolio shall be transferred in its entirety unless the Authority directs otherwise.

(4) Where a transfer is approved, the parties to the transfer shall inform all the policyholders and the insurers with which they place business of the transaction.

(5) Where a transfer or sale is effected without the approval of the Authority, the Authority shall revoke the licence of a transferee or seller of a portfolio, and that person shall be prohibited from obtaining another licence for five years from the date of sale or transfer.

91. Death of an agent.

(1) On the death of an insurance agent, the licence automatically lapses.

(2) Where at the death of the agent, the contract entered into by the agent is a long-term contract, the estate of a deceased agent shall continue to receive Authority.

92. Direct relationship with an insurer.

The appointment of an insurance agent by a person does not preclude that person from having direct communication with the insurance company or vice versa.

PART VIIIA
THE INSURANCE APPEALS TRIBUNAL.

92A. Insurance Appeals Tribunal.

(1) There is established a tribunal known as the Insurance Appeals Tribunal.

(2) The Tribunal shall consist of three persons, one of whom shall be a lawyer with adequate experience.

(3) One of the members of the Tribunal shall be a woman.

(4) The Minister shall appoint one of the members to be the Chairperson of the Tribunal.

(5) The Tribunal shall conduct its business on an ad hoc basis.

92B. Tribunal to review decisions of the Authority.

(1) A person who is aggrieved by a decision of the Authority, may within one month from the date the decision is communicated by the Authority, appeal to the Tribunal against the decision.

(2) The Authority shall not decide any matter brought before it without giving the appellant an opportunity to be heard.

92C. Decisions of the Tribunal.

(1) The Tribunal may uphold, reverse, revoke or vary a decision of the Authority.

(2) A decision of the Tribunal shall be in writing and shall be communicated within two months after an appeal is made to the Tribunal.

92D. Appeals to High Court from decisions of Tribunal.

A party to the proceedings before the Tribunal who is aggrieved by the decisions of the Tribunal, may within one month from the date of communication of the decision of the Tribunal, or within such further time as the High Court may allow, lodge a notice of appeal with the High Court.

92E. Expenses of the Tribunal.

The Authority shall bear the expenses for the administration of the Tribunal.

92F. Regulations under this Part.

(1) The Minister shall make regulations for the better carrying out of the provisions of this Part.

(2) The regulations made under this Part shall be laid before Parliament.

PART IX
MISCELLANEOUS.

93. Adjustment of losses occurring in contravention of the Act.

No person shall carry on adjustments of losses occurring under insurance contracts issued in contravention of this Act.

94. Insurance Institute of Uganda.

(1) Every person licensed under this Act shall be a member of the Insurance Institute of Uganda.

(2) Every insurer shall remit to the Insurance Institute of Uganda the levy mentioned in section 94A.

(3) The levy remitted under subsection (2) shall be used by the Insurance Institute of Uganda for training and certification of training programmes of the persons licences under this Act.

(4) The Insurance Institute of Uganda shall within 90 days from the end of each financial year, file with the Authority, the audited accounts of the Institute, for the preceding year.

(5) The accounts of the Insurance Institute of Uganda shall be audited by an auditor approved by the Authority.

94A. Insurance training levy.

(1) Each insurer shall pay a levy on the gross direct premium written by the insurer.

(2) The levy shall be charged on the policyholders and collected by the insurers.

(3) The levy shall be at a rate prescribed by the Authority, in consultation with the Minister.

95. Display of a licence.

(1) A person licensed under this Act shall display his or her licence prominently at the principal place of business in a part to which the public can have access and shall display a copy of the licence in each branch of the business in Uganda.

(2) A person who contravenes this section commits an offence and is liable on conviction to a fine of 15 currency points.

96. Insurable interest policies.

(1) No policy of insurance shall be issued to any person on the life of any person where that person has no insurable interest in the life or event.

(2) For purposes of subsection (1), an insurable interest shall be deemed to be had by—

(a) a parent of a minor or the guardian of a minor on the life of a minor;

(b) a husband, on the life of his wife;

(d) any person on the life of another upon whom he or she is wholly or in part dependent for support or education;

(e) a company or other person, on the life of an officer or employee of the company or that other person;

(f) a person who has a pecuniary interest in the duration of the life of another person, in the life of that person to the extent only of that pecuniary interest at the outset.

96A. Protection from liability.

(1) A member of the Authority shall not be personally liable in respect of any act or omission done in good faith in the performance of his or her functions under this Act.

(2) An officer, a member of staff or any other person acting on behalf of the Authority shall not be personally liable in respect of any act or omission done in good faith in the performance of his or her functions under this Act.

97. Offences and penalties.

(1) A person who carries on or is privy to the carrying on of any business under this Act under a company established contrary to this Act commits an offence and is liable on conviction to a fine of not less than 2,000 currency points and not more than 5,000 currency points or to imprisonment for a term of not less than three months and not more than six months or to both the fine and imprisonment.

(2) In addition to the punishment provided under subsection (1), a licence of a person convicted under that subsection shall be cancelled, and that person shall be disqualified from acquiring a licence for five years and thereafter shall not be issued a licence without the approval of the Minister.

(3) A person who, being a manager or officer of a company licensed under this Act—

(a) fails to take any reasonable steps to secure compliance with the requirements of this Act;

(b) makes any statement or gives any information which is false, in answer for information required under any provisions of this Act;

(c) is privy to furnishing of any false information under this Act commits an offence and is liable on conviction to a fine of not less than 150 currency points.

(4) An insurance or reinsurance company which fails to comply with an order issued by the Minister or the Authority under this Act or contravenes any provision of this Act commits an offence and is liable to—

(a) a public or private admonition;

(b) a fine of not more than 500 currency points;

(5) An insurance intermediary which fails to comply with an order issued by the Minister or the Authority under this Act or contravenes any provision of this Act commits an offence and is liable to—

(a) a private or public admonition;

(b) a fine of not more than 25 currency points;

(6) Where an officer of a company under this Act authorises the contravention of or contravenes any provision of this Act, he or she shall be personally liable to the penalty specified in relation to the contravention.

98. Power to make regulations.

The Authority may in consultation with the Minister make regulations—

(a) providing for the procedure and formalities for the grant, suspension and revocation of licences granted under this Act;

(b) relating to capital for companies licensed under this Act;

(d) providing for the qualifications of directors, management and key staff of a company licensed under this Act;

(e) providing for the form and content of financial and other reporting requirements for companies licensed under this Act;

(f) prescribing the method of calculation of assets and liabilities of an insurer;

(g) providing for the handling of appeals allowed under this Act;

(ga) relating to microinsurance;

(gb) providing for the corporate governance of persons licensed under this Act;

(gc) relating to health insurance organisations and health membership organisations;

(gd) providing for inspections to be carried out under this Act;

(ge) relating to the Policyholders’ Compensation Fund;

(gf) relating to the use of the fines levied against the persons licenced under this Act;

(gg) for prescribing for anything required by this Act to be prescribed;

(h) generally for giving effect to the provisions of this Act.

Schedule 1.

s. 2

Currency point.

A currency point is equivalent to twenty thousand shillings.

Schedule 2.

s. 14, 19.

Meetings and seal of the Authority.

1. The Authority shall meet for the discharge of its functions as often as business requires, and in any case the Authority shall meet at least once in every three months; and the chairperson shall convene a meeting whenever at least three members of the Authority request in writing for a meeting.

2. The chairperson or deputy chairperson shall preside at all meetings of the Authority; in the absence of both, the members shall elect one of the members to preside.

3. A quorum at any meeting of the Authority shall be four.

4. A decision on a question proposed at any meeting of the Authority shall be determined by a simple majority of the members present and voting; and in the case of equality of votes, the person presiding shall have a casting vote.

5. The Authority shall cause to be kept minutes of all the proceedings of its meetings.

6. The Authority may invite any number of persons to act as a consultant or adviser at any of its meetings.

7. A member of the Authority who has any personal interest in any transaction or matter before the Authority shall disclose the nature of his or her interest to the Authority and shall be disqualified from taking part in the deliberations of the Authority with respect to that transaction or matter if it is a contract and in any other case, if the Authority decides that the nature of the interest might prejudice the consideration of the matter.

8. Subject to this Act and regulations made under it, the Authority may regulate its own procedure.

9. The common seal of the Authority shall be in a form determined by the Authority.

10. The application of the seal on any document shall be authenticated by the signature of the Chief Executive Officer and the secretary to the Authority; and in the absence of the commissioner, the deputy Chief Executive Officer shall sign in his or her place, and the person performing the function of the secretary shall sign in the absence of the secretary.

11. The signature of the Chief Executive Officer and the secretary shall be independent of the signing by any other person who may sign the document as a witness.

12. A document purporting to be an instrument issued by the Authority and sealed by the common seal of the Authority, authenticated in the manner provided in this Schedule, shall be received in evidence and deemed to be such an instrument without further proof unless the contrary is shown.

*History*
Legislation	Number
Statute	7/1996
Act	13/2011

Cross References

Bank of Uganda Act, Cap. 51.

Companies Act, Cap. 110.

Cooperative Societies Act, Cap. 112.

Financial Institutions Act, Cap. 54.

INTERNATIONAL CRIMINAL COURT ACT, 2010.

ARRANGEMENT OF SECTIONS.

Section

PART I
PRELIMINARY.

1. Application.

2. Purpose.

3. Interpretation.

4. Statute to have force of law.

5. Application of section 4.

6. Obligations imposed by Statute or Rules.

PART II
INTERNATIONAL CRIMES AND OFFENCES AGAINST THE ADMINISTRATION OF JUSTICE.

International crimes.

7. Genocide.

8. Crimes against humanity.

9. War crimes.

Offences against administration of justice.

10. Corruption of Judge.

11. Bribery of Judge, etc.

12. Corruption and bribery of official of ICC.

13. False evidence.

14. Fabricating evidence before ICC.

15. Conspiracy to defeat justice in ICC.

16. Interference with witnesses or officials.

Consent to prosecutions.

17. Director of Public Prosecutions’ consent to prosecutions required.

18. Jurisdiction.

General principles of criminal law.

19. General principles of criminal law.

PART III
GENERAL PROVISIONS RELATING TO REQUESTS FOR ASSISTANCE.

20. Requests for assistance.

21. Making of requests.

22. Consultation.

23. Confidentiality of request.

24. Response to be sent to ICC.

25. Official capacity of person no bar to request.

PART IV
ARREST AND SURRENDER OF PERSON TO ICC.

Request from ICC for arrest and surrender.

26. Request for arrest and surrender.

27. Refusal of request for arrest and surrender.

28. Postponement of execution of request for arrest and surrender.

Provisional arrest in urgent cases.

29. Provisional arrest.

30. Rights of arrested person.

Bail.

31. Application for bail.

32. Person arrested on a provisional warrant.

33. Surrender hearing.

34. Registrar not to inquire into validity of warrant.

Surrender and delivery orders.

35. Surrender by consent.

36. Effect of delivery order.

37. Procedure where Registrar refuses order.

38. Discharge of person not delivered up.

39. Discharge of person no longer required to be surrendered.

40. Request for temporary surrender.

41. Competing requests.

42. Request for transit of a person to ICC.

PART V
DOMESTIC PROCEDURES FOR OTHER TYPES OF COOPERATION.

Locating or identifying persons or things.

43. Assistance in locating or identifying persons or things.

44. Taking evidence.

45. Production of documents and articles.

46. Protection of witnesses.

47. Assistance in questioning persons.

48. Assistance in arranging service of documents.

Facilitating appearance of witnesses.

49. Request for voluntary appearance of witness.

50. Consent required.

51. Minister may facilitate appearance.

Temporary transfer of prisoners.

52. Request for temporary transfer of prisoner.

53. Consent required and assurances may be sought.

54. Minister may arrange for transfer.

55. Effect of transfer on prisoner’s sentence.

Examination of places or sites.

56. Assistance in examining places or sites.

Search and seizure.

57. Request for search and seizure.

58. Protecting victims and witnesses and preserving evidence.

59. Request relating to property associated to crime.

60. Refusal of request.

61. Postponement of execution of request for assistance.

Supplementary provisions.

62. Verification of material.

63. Transmission of material to ICC.

PART VI
ENFORCEMENT OF PENALTIES.

Assistance with enforcement of victim reparation, fines and forfeiture orders.

64. Enforcement of orders for victim reparation.

65. Enforcement of fines.

66. Enforcement of forfeiture orders.

Enforcement of ICC sentences in Uganda.

67. Uganda may act as State of enforcement.

68. Request for sentence to be served in Uganda.

69. Prisoner to be held in custody.

70. Issue of a statutory order for transfer of prisoner to Uganda.

71. Transfer of prisoners to ICC for review of sentence.

72. Transfer of prisoner to another State to complete sentence.

Certificates and removal orders.

73. Certificate giving temporary authority to remain in Uganda.

74. Cancellation of certificate.

75. Further provisions relating to certificate.

76. Removal order.

77. Delay in removal.

78. Special rules in certain cases.

79. Immigration permit not required.

80. Ugandan citizens.

PART VII
PROTECTION OF NATIONAL SECURITY OR THIRD PARTY INFORMATION.

National security.

81. National security issues to be dealt with under article 72.

82. Part 9 request involving national security.

83. Information or evidence involving national security.

84. Other situations involving national security.

85. Consultation with ICC required.

86. Procedure where no resolution.

87. Minister to take into account ICC’s ability to refer matter to Security Council.

Information provided by third party.

88. Disclosure of information provided by third party.

89. Request for Uganda’s consent to disclosure.

PART VIII
INVESTIGATIONS OR SITTINGS OF ICC IN UGANDA.

90. Prosecutor may conduct investigations in Uganda.

91. ICC sittings in Uganda.

92. ICC powers while sitting in Uganda.

93. ICC may administer oaths in Uganda.

94. Orders made by ICC not subject to review.

95. Power to detain ICC prisoners in Uganda prison.

96. Removal of ICC prisoner.

PART IX
RE

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QUESTS TO ICC FOR ASSISTANCE.

97. Minister may request assistance from ICC.

98. Urgent requests.

99. Types of requests to ICC.

PART X
MISCELLANEOUS PROVISIONS.

100. Certificates given by Minister.

101. Legal personality and privileges and immunities.

102. Regulations.

Schedule 1 Rome Statute of the International Criminal Court.

Schedule 2 Agreement on the privileges and immunities of the International Criminal Court.

INTERNATIONAL CRIMINAL COURT ACT, 2010.

Commencement: 25 June, 2010.

An Act to give effect to the Rome Statute of the International Criminal Court; to provide for offences under the law of Uganda corresponding to offences within the jurisdiction of that court; and for connected matters.

PART I
PRELIMINARY.

1. Application.

(1) Parts III, IV, V and VII apply to any requests made by the ICC regardless of whether the acts under investigation or subject to prosecution are alleged to have been committed before the coming into force of this Act.

(2) Part VI applies to the enforcement of any sentence, penalty or order of the ICC, regardless of whether the offence to which the sentence, penalty or order relates was committed before the coming into force of this Act.

(3) Part VIII applies to any investigation or sitting of the ICC regardless of whether the alleged offence or offence to which the investigation or sitting relates was committed before the coming into force of this Act.

2. Purpose.

The purpose of this Act is—

(a) to give the force of law in Uganda, to the Statute;

(b) to implement obligations assumed by Uganda under the Statute;

(c) to make further provision in Uganda’s law for the punishment of the international crimes of genocide, crimes against humanity and war crimes;

(d) to enable Uganda to cooperate with the ICC in the performance of its functions, including the investigation and prosecution of persons accused of having committed crimes referred to in the Statute;

(e) to provide for the arrest and surrender to the ICC of persons alleged to have committed crimes referred to in the Statute;

(f) to provide for various forms of requests for assistance to the ICC;

(g) to enable Ugandan courts to try, convict and sentence persons who have committed crimes referred to in the Statute;

(h) to enable the ICC to conduct proceedings in Uganda; and

(i) to enforce any sentence imposed or order made by the ICC.

3. Interpretation.

(1) In this Act, unless the context otherwise requires—

“Agreement” means the Agreement on the Privileges and Immunities of the International Criminal Court set out in schedule 2 to this Act;

“crime” includes genocide, crimes against humanity, war crimes and crime of aggression;

“forfeiture order” means an order made by the ICC under article 77(2)(b) of the Statute or under the Rules for the forfeiture of property;

“freezing order” means an order prohibiting any person from dealing in the property specified in the order other than in accordance with conditions and exceptions specified in the order;

“ICC” means the International Criminal Court established under the Statute; and includes any of the organs of the International Criminal Court referred to in the Statute;

“ICC prisoner” means a person who—

(a) is sentenced to imprisonment by the ICC; or

(b) is the subject of a request by the ICC under section 95(1)(b) to be held in custody during a sitting of the ICC in Uganda;

“international crime” means, in relation to the ICC, a crime in respect of which the ICC has jurisdiction under article 5 of the Statute;

“Minister” means the Minister responsible for Justice;

“prescribed” means prescribed by regulations made under section 102;

“Pre-Trial Chamber” means the Pre-Trial Chamber of the ICC;

“property” means real or personal property of every description, whether situated in Uganda or elsewhere and whether tangible or intangible; and includes an interest in any such real or personal property;

“Prosecutor” means the Prosecutor of the ICC;

“Registrar” means a Registrar of the High Court;

“Rules” means the Rules of Procedure and Evidence made under article 51 of the Statute;

“seizing order” means an order authorising a police officer to search any thing and to seize the property if found or any other property that the police officer believes on reasonable grounds may relate to the request from the ICC;

“Statute” means the Rome Statute of the ICC set out in schedule 1 to this Act;

“Trial Chamber” means the Trial Chamber of the ICC;

“Uganda offence” means an offence against the law of Uganda;

“Uganda prison” or “prison” means a prison within the meaning of the Prisons Act;

“Uganda prisoner” or “prisoner” means a person who is, for the time being, in the legal custody of the superintendent of any Uganda prison, whether or not that person has been convicted of an offence.

(2) For the purposes of this Act—

(a) a reference in this Act to a request by the ICC for assistance includes a reference to a request by the ICC for cooperation;

(b) a reference in this Act to a request by the ICC for assistance under a specified provision or in relation to a particular matter includes a reference to a request by the ICC for cooperation under that provision or in relation to that matter;

(c) a reference in this Act to a figure in brackets immediately following the number of an article of the Statute is a reference to the paragraph of that article with the number corresponding to the figure in brackets;

(d) a reference in this Act to a sentence of imprisonment imposed by the ICC includes a reference to a sentence of imprisonment extended by the ICC (whether for the nonpayment of a fine or otherwise); and

(e) a reference in this Act to a sentence of imprisonment imposed by the ICC for an international crime or an offence against the administration of justice includes a reference to a sentence of imprisonment imposed by the ICC for nonpayment of a fine that was a penalty for that crime or offence, as the case may be.

4. Statute to have force of law.

The provisions of the Statute specified in subsection (2) have the force of law in Uganda in relation to the following matters the—

(a) making of requests by the ICC to Uganda for assistance and the method of dealing with those requests;

(b) conduct of an investigation by the Prosecutor or the ICC;

(d) enforcement in Uganda of sentences of imprisonment or other measures imposed by the ICC, and any related matters;

(e) making of requests by Uganda to the ICC for assistance and the method of dealing with those requests.

5. Application of section 4.

Section 4 applies in relation to the following provisions of the Statute—

(a) Part 2 (which relates to jurisdiction, admissibility, and applicable law);

(b) Part 3 (which relates to general principles of criminal law);

(c) articles 51 and 52 of the Statute (which relate respectively to the Rules of Procedure and Evidence, and Regulations of the Court);

(d) Part 5 (which relates to the investigation and prosecution of crimes within the jurisdiction of the ICC);

(e) Part 6 (which relates to the conduct of trials);

(f) Part 7 (which relates to penalties);

(g) Part 8 (which relates to appeals and revision of acquittals, convictions, or sentences);

(h) Part 9 (which relates to international cooperation and judicial assistance); and

(i) Part 10 (which relates to the enforcement of sentences and other measures imposed by the ICC).

6. Obligations imposed by Statute or Rules.

For the purposes of any provision of this Act, of the Statute or the Rules that confers a power, or imposes a duty or function on a State including but not limited to a power, duty or function relating to the execution of a request for assistance from the ICC, that power, duty, or function may be exercised or carried out on behalf of the Government of Uganda by the Minister, if this Act makes no other provision.

PART II
INTERNATIONAL CRIMES AND OFFENCES AGAINST THE ADMINISTRATION OF JUSTICE.

International crimes.

7. Genocide.

(1) A person is liable on conviction on indictment to the penalty specified in subsection (3) who, in Uganda or elsewhere—

(a) commits genocide; or

(b) conspires or agrees with any person to commit genocide, whether that genocide is to take place in Uganda or elsewhere.

(2) For the purposes of this section, “genocide” is an act referred to in article 6 of the Statute.

(3) The penalty for genocide, or conspiring with, or agreeing with any person to commit genocide is imprisonment for life or a lesser term.

8. Crimes against humanity.

(1) A person is liable on conviction on indictment to the penalty specified in subsection (3) who, in Uganda or elsewhere, commits a crime against humanity.

(2) For the purposes of this section, a “crime against humanity” is an act specified in article 7 of the Statute.

(3) The penalty for a crime against humanity is imprisonment for life or a lesser term.

9. War crimes.

(1) A person is liable on conviction on indictment to the penalty specified in subsection (3) who, in Uganda or elsewhere, commits a war crime.

(2) For the purposes of this section, a “war crime” is an act specified in—

(a) article 8(2)(a) of the Statute (which relates to grave breaches of the First, Second, Third, and Fourth Geneva Conventions); or

(b) article 8(2)(b) of the Statute (which relates to other serious violations of the laws and customs applicable in international armed conflict); or

(c) article 8(2)(c) of the Statute (which relates to armed conflict not of an international character involving serious violations of article 3 common to the four Geneva Conventions of 12 August 1949); or

(d) article 8(2)(e) of the Statute (which relates to other serious violations of the laws and customs applicable in armed conflict not of an international character).

(3) The penalty for a war crime is imprisonment for life or a lesser term.

(4) Nothing in this section affects or limits the operation of section (2) of the Geneva Conventions Act (which makes a grave breach of the Geneva Conventions an offence under Uganda law).

Offences against administration of justice.

10. Corruption of Judge.

(1) A Judge is liable on conviction on indictment to imprisonment for a term not exceeding 14 years who, in Uganda or elsewhere, corruptly accepts or obtains, or agrees or offers to accept or attempts to obtain, a bribe for himself or herself or any other person in respect of an act—

(a) done or omitted by that Judge in his or her judicial capacity; or

(b) to be done or to be omitted by that Judge in his or her judicial capacity.

(2) A Judge, the Registrar, and a Deputy Registrar shall be liable on conviction on indictment to imprisonment for a term not exceeding seven years if, in Uganda or elsewhere, that Judge, Registrar, or Deputy Registrar corruptly accepts or obtains, or agrees or offers to accept or attempts to obtain, a bribe for himself or herself or any other person in respect of an act—

(a) done or omitted by that Judge, Registrar, or Deputy Registrar, in his or her official capacity (other than an act or omission to which subsection (1) applies); or

(b) to be done or omitted by that Judge, Registrar, or Deputy Registrar, in his or her official capacity (other than an act or omission to which subsection (1) applies).

(3) In this section and in sections 11 and 16—

“Deputy Registrar” means a Deputy Registrar of the ICC;

“Judge” means a Judge of the ICC; and

“Registrar” means the Registrar of the ICC.

11. Bribery of Judge, etc.

(1) A person is liable on conviction to imprisonment for a term not exceeding seven years who, in Uganda or elsewhere, corruptly gives or offers, or agrees to give, a bribe to any person with intent to influence a Judge in respect of any act or omission by that Judge in his or her judicial capacity.

(2) A person is liable on conviction to imprisonment for a term not exceeding five years who, in Uganda or elsewhere, corruptly gives or offers, or agrees to give, a bribe to any person with intent to influence a Judge or the Registrar or the Deputy Registrar in respect of an act or omission by that Judge, Registrar, or Deputy Registrar in his or her official capacity (other than an act or omission to which subsection (1) applies).

12. Corruption and bribery of official of ICC.

(1) An official of the ICC is liable to imprisonment on conviction for a term not exceeding seven years who, in Uganda or elsewhere, corruptly accepts or obtains, or agrees or offers to accept or attempts to obtain, a bribe for himself or herself or any other person in respect of an act—

(a) done or omitted by that officer in his or her official capacity; or

(b) to be done or omitted by that officer in his or her official capacity.

(2) A person is liable on conviction to imprisonment for a term not exceeding three years who, in Uganda or elsewhere, corruptly gives or offers, or agrees to give, a bribe to any person with intent to influence an official of the ICC in respect of an act or omission by that officer in his or her official capacity.

(3) In this section and in section 16, an “official of the ICC” means a person employed under article 44 of the Statute.

13. False evidence.

(1) A person who gives evidence for the purposes of a proceeding before the ICC or in connection with a request made by the ICC that contains an assertion that, if made in a judicial proceeding in Uganda as evidence on oath, would be perjury, gives false evidence.

(2) A person is liable, on conviction on indictment, to imprisonment for a term not exceeding seven years who, in Uganda or elsewhere, gives false evidence.

(3) Notwithstanding subsection (2), if the false evidence is given in order to obtain the conviction of a person for an offence for which the maximum punishment is not less than three years’ imprisonment, the punishment may be imprisonment for a term not exceeding 14 years.

14. Fabricating evidence before ICC.

A person is liable on conviction on indictment to imprisonment for a term not exceeding seven years who, in Uganda or elsewhere, with intent to mislead the ICC, fabricates evidence by any means other than the giving of false evidence.

15. Conspiracy to defeat justice in ICC.

A person is liable on conviction on indictment to imprisonment for a term not exceeding seven years who, in Uganda or elsewhere, in relation to any proceedings, request, or other matter referred to in the Statute, conspires to obstruct, prevent, pervert, or defeat the course of justice.

16. Interference with witnesses or officials.

A person is liable on conviction to imprisonment for a term not exceeding seven years who, in Uganda or elsewhere—

(a) dissuades or attempts to dissuade any person, by threats, force, bribery or other means, from giving evidence for the purposes of a proceeding before the ICC or in connection with a request made by the ICC; or

(b) makes threats or uses force against any Judge, the Registrar, a Deputy Registrar, or any official of the ICC with intent to influence or punish that person, in respect of an act—

(i) done or omitted by that person or any Judge, the Registrar, a Deputy Registrar, or any official of the ICC, in his or her official capacity; or

(ii) to be done or omitted by that person or any Judge, the Registrar, a Deputy Registrar, or any official of the ICC, in his or her official capacity; or

(c) intentionally attempts in any other way to obstruct, prevent, pervert, or defeat the course of justice, in relation to any proceedings, request, or other matter referred to in the Statute.

Consent to prosecutions.

17. Director of Public Prosecutions’ consent to prosecutions required.

(1) Proceedings for an offence against any of sections 7 to 16 shall not be instituted in any Uganda court without the consent of the Director of Public Prosecutions.

(2) Notwithstanding subsection (1), a person charged with an offence against any of sections 7 to 16 may be arrested, or a warrant for his or her arrest may be issued and executed, and the person may be remanded in custody or on bail, even though the consent of the Director of Public Prosecutions to the institution of a prosecution for the offence has not been obtained, but no further proceedings shall be taken until that consent has been obtained.

18. Jurisdiction.

For the purpose of jurisdiction where an alleged offence against sections 7 to 16 was committed outside the territory of Uganda, proceedings may be brought against a person, if—

(a) the person is a citizen or permanent resident of Uganda;

(b) the person is employed by Uganda in a civilian or military capacity;

(d) the person is, after the commission of the offence, present in Uganda.

General principles of criminal law.

19. General principles of criminal law.

(1) For the purposes of proceedings for an offence against section 7 or section 8 or section 9—

(a) the following provisions of the Statute apply, with any necessary modifications—

(i) article 20 (which relates to crimes for which a person has previously been acquitted or convicted);

(ii) article 22(2) (which relates to principles of interpretation to be applied to the definition of crimes);

(iii) article 24(2) (which relates to the effect of changes in the law);

(iv) article 25 (which relates to principles of individual criminal responsibility);

(v) article 26 (which relates to the exclusion of jurisdiction over persons under 18 years);

(vi) article 28 (which relates to the responsibility of commanders and other superiors);

(vii) article 29 (which excludes any Statute of limitations);

(viii) article 30 (which relates to the mental element of crimes);

(ix) article 31 (which specifies grounds for excluding criminal responsibility);

(x) article 32 (which relates to mistakes of fact or law);

(xi) article 33 (which relates to superior orders and prescription of law);

(b) the provisions of Ugandan law and the principles of criminal law applicable to the offence under Ugandan law apply; and

(c) a person charged with the offence may rely on any justification, excuse, or defence available under the laws of Uganda or under international law.

(2) For the purposes of subsection (1)(a), the articles of the Statute specified in that subsection (other than article 20) apply as if—

(a) a reference to the ICC were a reference to the Uganda court exercising jurisdiction in respect of the proceedings; and

(b) a reference to the Statute includes a reference to this Act.

(3) Where there is any inconsistency between the provisions specified in subsection (1)(a) and the provisions and principles specified in subsection (1)(b) and (1)(c), the provisions specified in subsection (1)(a) prevail.

(4) For the purposes of interpreting and applying articles 6 to 8 of the Statute in proceedings for an offence against section 7 or section 8 or section 9—

(a) the Uganda court exercising jurisdiction in the proceedings may have regard to any elements of crimes adopted or amended in accordance with article 9 of the Statute; and

(b) the provisions of Divisions I to V of the Penal Code Act do not apply.

PART III
GENERAL PROVISIONS RELATING TO REQUESTS FOR ASSISTANCE.

20. Requests for assistance.

(1) This Part applies to a request by the ICC for assistance that is made under—

(a) Part 9 of the Statute, namely—

(i) the provisional arrest, arrest, and surrender to the ICC of a person in relation to whom the ICC has issued an arrest warrant or given a judgement of conviction;

(ii) the identification and whereabouts of persons or the location of items;

(iii) the taking of evidence, including testimony under oath, and the production of evidence, expert opinions, and reports necessary to the ICC;

(iv) the questioning of any person being investigated or prosecuted;

(v) the service of documents, including judicial documents;

(vi) facilitating the voluntary appearance of persons as witnesses or experts before the ICC;

(vii) the temporary transfer of prisoners;

(viii) the examination of places or sites, including the exhumation and examination of gravesites;

(ix) the execution of searches and seizures;

(x) the provision of records and documents, including official records and documents;

(xi) the protection of victims and witnesses and the preservation of evidence;

(xii) the identification, tracing and freezing, or seizure of proceeds, property and assets, and instrumentalities of crimes for the purpose of eventual forfeiture, without prejudice to the rights of bona fide third parties;

(xiii) the enforcement of orders for fines, penalties and reparation; or

(xiv) any other type of assistance that is not prohibited by the law of Uganda, with a view to facilitating the investigation and prosecution of crimes within the jurisdiction of the ICC; or

(b) any of the following articles of the Statute—

(i) article 19(8) (which relates to various steps that the Prosecutor may take with the authority of the ICC);

(ii) article 56 (which relates to various measures that can be taken by the Pre-Trial Chamber);

(iii) article 64 (which relates to various measures that can be taken by the Trial Chamber);

(iv) article 76 (which relates to the imposition of sentence by the Trial Chamber);

(v) article 109 of the Statute (which relates to the enforcement of fines and forfeiture measures).

(2) Nothing in this section—

(a) limits the type of assistance that the ICC may request under the Statute or the Rules (whether in relation to the provision of information or otherwise);

(b) prevents the provision of assistance to the ICC otherwise than under this Act, including assistance of an informal nature.

21. Making of requests.

(1) Subject to subsection (2), a request for assistance shall be made in writing, directly to the Minister.

(2) A request for provisional arrest (article 92) or for other forms of cooperation (article 93) or an urgent request for arrest and surrender (article 89) may be made using any medium capable of delivering a written record including facsimile or electronic mail.

(3) Where facsimile or electronic mail is used for the making of a request as set out in subsection (2) or for the transmission of supporting documents, this Act applies as if the documents so sent were the originals of the documents so transmitted and a copy of the facsimile or electronic mail shall be receivable in evidence.

(4) If a request for arrest and surrender is transmitted in accordance with subsection (2), it shall be followed by an original.

22. Consultation.

The Minister shall consult with the ICC, without delay, if, for any reason there is or may be a problem with the execution of a request for assistance.

23. Confidentiality of request.

(1) A request for assistance and any document or part of a document supporting the request shall be kept confidential by any person dealing with the request in whole or in part, except to the extent that the disclosure is necessary for execution of the request.

(2) If the ICC requests that particular information that is made available with a request for assistance be provided and handled in a manner that protects the safety and physical or psychological wellbeing of any victim, a potential witness, and his or her family, the Uganda agency dealing with the request shall use its best endeavours to give effect to that request.

24. Response to be sent to ICC.

(1) The Minister shall notify the ICC, without delay, of his or her response to a request for assistance and of the outcome of any action that has been taken in relation to it.

(2) If the Minister decides, in accordance with the Statute and this Act, to refuse or postpone the assistance requested, in whole or in part, the notification to the ICC shall set out the reasons for the decision.

(3) If the request for assistance cannot be executed for any other reason, the notification to the ICC shall set out the reasons for the inability or failure to execute the request.

(4) In the case of an urgent request for assistance, any documents or evidence produced in response shall, at the request of the ICC, be sent urgently to it.

(5) Documents or evidence provided or produced in response to a request for assistance from the ICC must be transmitted to the ICC in their original language and form.

(6) If the Minister is of the opinion that the circumstances set out in article 98 of the Statute apply to a request for provisional arrest, arrest and surrender or other assistance, he or she shall consult with the ICC and request a determination as to whether article 98 applies.

25. Official capacity of person no bar to request.

(1) The existence of any immunity or special procedural rule attaching to the official capacity of any person is not a ground for—

(a) refusing or postponing the execution of a request for surrender or other assistance made by the ICC;

(b) holding that a person is ineligible for arrest or surrender to the ICC under this Act; or

(2) Subsection (1) shall apply subject to section 24(6).

PART IV
ARREST AND SURRENDER OF PERSON TO ICC.

Request from ICC for arrest and surrender.

26. Request for arrest and surrender.

(1) Subject to sections 27 and 28, when the Minister receives a request for arrest and surrender under article 89 of the Statute, the Minister shall, if satisfied that the request is supported by the information and documents required by article 91 of the Statute—

(a) transmit the request and any supporting documents to a Registrar and request the endorsement of the ICC warrant or the issue of a domestic warrant as appropriate; and

(b) notify the Director of Public Prosecutions.

(2) Upon receipt of a request under subsection (1)(a) the Registrar, if satisfied that there are reasonable grounds to suspect that the person named in the warrant is in or on his or her way to Uganda shall—

(a) if the request is accompanied by a warrant of arrest, endorse the warrant for execution by a police officer in any part of Uganda; or

(b) if the request relates to a person convicted by the ICC and is not accompanied by a warrant of arrest, issue a warrant of arrest in a form as near as possible to a prescribed form under the criminal procedure law of Uganda, for execution by the police officer in any part of Uganda.

27. Refusal of request for arrest and surrender.

(1) The Minister shall refuse a request for arrest and surrender, at any time before the surrender of the person, only if—

(a) the ICC has decided that the case to which the request relates is inadmissible on any ground; or

(b) the ICC advises that it does not intend to proceed with the request for any reason, including but not limited to a determination by the ICC that article 98 of the Statute applies to the request.

(2) The Minister may refuse a request for arrest and surrender of a person, at any time before the surrender of the person only if—

(a) there is a competing request for extradition from one or more States not party to the Statute for the person for the same conduct which forms the basis of the crime for which the ICC seeks the person’s surrender and a decision to extradite to a State is made in accordance with article 90 of the Statute and section 41; or

(b) there is a competing request from one or more States not party to the Statute for the extradition of the person for different conduct from that which constitutes the crime for which the ICC requests the person’s surrender and a decision to extradite is made in accordance with article 90 of the Statute and section 41.

(3) If the Minister decides to refuse a request for arrest and surrender in accordance with subsection (1) or (2) after he or she has transmitted a request under section 26, he or she shall notify the Registrar who shall cancel any warrant or delivery order issued by him or her and ensure the person’s release from custody or conditions prescribed in relation to bail arising from that warrant or order.

28. Postponement of execution of request for arrest and surrender.

(1) The Minister may postpone the execution of a request for arrest and surrender at any time before the person is surrendered only if—

(a) a determination on admissibility is pending before the ICC;

(b) the request would interfere with an investigation or prosecution in Uganda involving a different offence from that for which surrender to the ICC is requested;

(c) the Minister is consulting with the ICC under section 24(6) as to whether or not article 98 of the Statute applies to execution of the request.

(2) If execution of the request for arrest and surrender is postponed under subsection (1)(a) and the ICC decides that the case is admissible, the Minister shall proceed with the execution of the request as soon as possible after the decision.

(3) If the execution of the request for arrest and surrender is postponed under subsection (1)(b), the Minister shall consult with the ICC and agree on a period of time for postponement of the execution of the request in accordance with article 94 of the Statute; and the Minister shall proceed with execution of the request after the lapse of the period, unless otherwise agreed with the ICC.

(4) If execution of the request for arrest and surrender is postponed under subsection (1)(c) and the ICC decides to proceed with the request, the Minister shall proceed with the execution of the request as soon as possible after the decision.

(5) If the Minister decides to postpone execution of a request for arrest and surrender in accordance with this section after he or she has transmitted a request under section 26, he or she shall—

(a) notify the Registrar of the postponement and the Registrar shall adjourn any pending proceedings until further notice from the Minister; and

(b) notify the Registrar at the relevant time whether the execution of the request is to proceed or not, and the Registrar shall proceed accordingly with the execution of the request or the discharge of the person.

(6) A decision by the Minister to postpone the execution of a request shall not affect the validity of any act that has been done or any warrant or order made under this Part prior to the decision, and any such warrant or order remains in effect unless cancelled by the Registrar in accordance with subsection (5)(b).

Provisional arrest in urgent cases.

29. Provisional arrest.

(1) Where the Minister receives a request from the ICC for provisional arrest under article 92 of the Statute, he or she shall, if satisfied that the request is supported by the information required by paragraph (2) of article 92 of the Statute, transmit the request and any supporting documents to the Inspector General of Police with a direction for the arrest of the person.

(2) The Minister shall transmit a copy of the direction to the Director of Public Prosecutions.

(3) Where the Inspector General of Police receives a direction from the Minister in accordance with subsection (1) he or she shall instruct the police to carry out the direction.

(4) After carrying out the direction, the Inspector General of Police shall notify the Minister and the Director of Public Prosecutions accordingly.

(5) Where a person has been provisionally arrested under this section, and the Minister receives the formal request for arrest and surrender as provided for in article 91 of the Statute, the Minister shall immediately send a notice to the Registrar and proceed with the transmission of the request in accordance with section 26.

30. Rights of arrested person.

(1) A person arrested under section 26 or 29 shall be brought before a Registrar within 48 hours.

(2) The Registrar before whom the person is brought may, of his or her own volition or at the request of the person determine—

(a) whether the person was lawfully arrested in accordance with the warrant; and

(b) whether the person’s rights have been respected.

(3) In making a determination under subsection (2) the Registrar shall apply the principles applicable to judicial review.

(4) If the Registrar determines that—

(a) the person was not lawfully arrested; or

(b) the person’s rights were not respected,

the Registrar shall make a declaration to that effect with any explanation required but may not grant any other form of relief.

(5) The Registrar shall transmit any declaration made under subsection (4) to the Minister, and the Minister shall transmit it to the ICC.

Bail.

31. Application for bail.

(1) A person brought before a Registrar under section 30 may make an application for bail.

(2) Where an application for bail is made, the Registrar shall adjourn the hearing of the application and notify the Minister.

(3) The Minister shall, on receipt of a notification under subsection (2), consult immediately with the ICC to obtain any recommendations from the Pre-Trial Chamber under article 59(5) of the Statute, and shall convey those recommendations to the Registrar.

(4) The Registrar shall give full consideration to any recommendations conveyed to him or her under subsection (3) before making a decision on the application for bail.

(5) Where no recommendations are received from the ICC within seven days, the Registrar may proceed to hear the application; and the provisions of the Magistrates Courts Act shall apply.

32. Person arrested on a provisional warrant.

(1) Where a person has been provisionally arrested under section 29, the Registrar shall not proceed under section 30 until—

(a) the Registrar has received a notice from the Minister that the request for surrender and supporting documents required under article 91 of the Statute have been received by the Minister; and

(b) the relevant documents have been transmitted to the Registrar by the Minister under section 29(5).

(2) Pending the receipt of the notice and documents under subsection (1), the Registrar may adjourn the proceedings from time to time.

(3) If the Registrar has not received the notice specified in subsection (1)(a) within 60 days of the date of the provisional arrest of the person, he or she shall release the person from custody or on bail unless satisfied that the period for submission of the notice should be extended in the interests of justice.

(4) The release of a person under subsection (3) shall be without prejudice to any subsequent proceedings that may be brought for the arrest and surrender of the person to the ICC.

33. Surrender hearing.

(1) If the Registrar is satisfied with respect to a person brought before him or her under this Part that—

(a) there is a warrant of arrest or a judgement of conviction from the ICC in respect of that person; and

(b) the warrant or judgement relates to the person before the Registrar,

the Registrar shall issue a delivery order in respect of that person in accordance with article 59(7) of the Statute.

(2) Where the Registrar issues a delivery order under subsection (1) he or she shall—

(a) transmit the delivery order to the Inspector General of Police for execution;

(b) commit the person to custody pending the execution of the delivery order by the Inspector General of Police; and

(3) If the person who is the subject of a delivery order—

(a) is in custody, the Registrar shall order the continued detention of the person under the delivery order and notify the Commissioner of Prisons and the Superintendent of the prison, of the delivery order; or

(b) is not in custody, the Registrar shall commit him or her to custody and shall notify the Commissioner of Prisons and the Superintendent of the prison.

(4) The Inspector General of Police shall make arrangements with the ICC for the execution of the delivery order as soon as possible, and shall notify the Minister when the person has been surrendered to the ICC in execution of the delivery order.

(5) A delivery order issued under this section is sufficient authority for holding the person specified in the order in custody until his or her delivery to the ICC.

(6) In deciding whether to make a delivery order under this section—

(a) the Registrar shall not require evidence to establish that the trial of the person is justified before the ICC or would be justified under the law of Uganda if the conduct had occurred within Uganda; and

(b) the Registrar shall not receive evidence nor adjudicate on any claim by the person that he or she has been previously tried or convicted for the conduct for which the ICC seeks surrender of the person.

(7) If the person makes a claim, under subsection (6)(b), the Registrar shall advise the Minister of this claim and the Minister shall transmit that information to the ICC.

34. Registrar not to inquire into validity of warrant.

The Registrar dealing with proceedings under this Part shall not inquire into, receive any evidence regarding or make any decisions as to the validity of any warrant or order issued by the ICC.

Surrender and delivery orders.

35. Surrender by consent.

(1) A person may at any time notify a Registrar that he or she consents to being surrendered to the ICC for the crime or crimes for which the ICC seeks the surrender of the person.

(2) The Registrar may accept the notification of consent under subsection (1) if—

(a) the person is before the Registrar when notification of the consent to surrender is given; and

(b) the Registrar is satisfied that the person has freely consented to the surrender in full knowledge of its consequences.

(3) Nothing in this section shall be construed as preventing a person, in respect of whom the Registrar has made a delivery order, from subsequently notifying the Minister that he or she consents to surrender.

(4) For the avoidance of doubt a person arrested under a provisional warrant may consent to surrender before a request for surrender is received, in which case the Registrar may make an order under subsection (5).

(5) Where the consent to surrender has been given, the Registrar shall immediately make a delivery order in the same terms as section 33(2) and sections 33 and 34 shall apply.

36. Effect of delivery order.

(1) A delivery order is sufficient authority for any person to receive the person to whom the order relates, keep him or her in custody and convey him or her to the place where he or she is to be delivered up into the custody of the ICC or of the state of enforcement in accordance with arrangements made by the Inspector General of Police.

(2) A person in respect of whom a delivery order is in force shall be deemed to be in legal custody pending delivery up under the order.

(3) If a person in respect of whom a delivery order is in force escapes or is unlawfully at large, he or she may be arrested without warrant and taken to the place where he or she is required to be or to be taken.

37. Procedure where Registrar refuses order.

(1) Where the Registrar refuses to make a delivery order, he or she shall make an order remanding the person arrested in custody for 14 days, and shall notify the Minister of his or her decision and of the grounds for it.

(2) The Minister may appeal to the High Court against the decision by the Registrar to refuse to make a delivery order.

(3) Where the Registrar is informed that an appeal is to be brought against the decision, the order remanding the person arrested shall continue to have effect until the appeal is determined and the person is either discharged or the delivery order is executed.

(4) Where the High Court allows the appeal, it may make a delivery order or remit the case to the Registrar to make a delivery order in accordance with the decision of the High Court.

(5) Where the High Court dismisses the appeal, the person shall be discharged in accordance with the decision of the High Court.

38. Discharge of person not delivered up.

(1) If the person in respect of whom a delivery order has been made is not delivered up under the order within 60 days after it was made, an application may be made by that person or by someone duly authorised by him or her for discharge.

(2) On an application made under this section, the court shall order the person’s discharge, unless reasonable cause is shown for the delay.

39. Discharge of person no longer required to be surrendered.

Where the ICC informs the Minister that the person arrested upon the request of the ICC is no longer required to be surrendered, the Minister shall notify the Registrar of that fact and the Registrar shall on receipt of the notification make an order for the discharge of the person.

40. Request for temporary surrender.

(1) Where a request for surrender by ICC relates to a crime under the Statute but the person is subject to proceedings for a Uganda offence which has not been finally disposed of or is liable to serve a sentence of imprisonment imposed for a Uganda offence, the Minister may authorise the temporary transfer of that person to the ICC.

(2) The Minister may, before making an authorisation under subsection (1), seek an undertaking from the ICC that the person shall be returned on completion of prosecution, acquittal or service of sentence imposed by the ICC.

(3) Subsections (2), (3), (4) and (5) of section 54 shall apply to an authorisation under subsection (1) with any necessary modifications.

41. Competing requests.

(1) Where a request for surrender of a person is received from the ICC and one or more states also request the extradition of the person for the same conduct that forms the basis of the crime for which ICC seeks the person’s surrender, the Minister—

(a) shall notify ICC and the requesting state of that fact; and

(b) shall determine whether the person is to be surrendered to ICC or to the requesting state.

(2) Where the requesting state is a party to the Statute, priority shall be given to the request from the ICC if the ICC has determined under article 18 or 19 of the Statute that the case is admissible; and where an admissibility decision is still pending, no person may be extradited under the Extradition Act until the ICC makes a decision on admissibility and determines that the case is inadmissible.

(3) Where the requesting state is not a party to the Statute, priority shall be given to the request for surrender from the ICC, if Uganda is not under an international obligation to extradite the person to the requesting state and the ICC has determined under article 18 or 19 of the Statute that the case is admissible.

(4) Where the requesting state is not a party to the Statute and Uganda is under an international obligation to extradite the person to the requesting state and the ICC has determined under article 18 or 19 of the Statute that the case is admissible, the Minister shall determine whether the person is to be surrendered to the ICC or extradited taking into consideration all the relevant factors referred to in article 90(6) of the Statute.

(5) Where a request for surrender is received from the ICC and one or more states also request the extradition of the person for conduct other than that which constitutes the crime for which ICC seeks the person’s surrender, priority shall be given to the request from the ICC if Uganda is not under an international obligation to extradite the person to any requesting state.

(6) Where a request for surrender is received from the ICC and one or more states also request the extradition of the person for conduct other than conduct which constitutes the crime for which ICC seeks the person’s surrender, if Uganda is under an international obligation to extradite to one or more of the requesting states, the Minister shall determine whether the person is to be surrendered to the ICC or extradited to a requesting state in accordance with article 90(7) of the Statute.

42. Request for transit of a person to ICC.

(1) Subject to subsection (4), where the Minister receives a request from the ICC for transit through Ugandan territory of a person—

(a) being surrendered to the ICC;

(b) being surrendered or transferred by another state to ICC;

(d) being transferred to or from the State of enforcement as a result of a review hearing or other appearance by the person before the ICC,

the Minister shall accede to the request for transit and the person shall be deemed to be in lawful custody, may be held in any police station, prison or any other place of detention which may be designated by the Minister in consultation with the Minister responsible for internal affairs.

(2) If a person referred to in subsection (1) arrives in Uganda without prior consent to transit, a police officer may at the request of the officer who has custody of the person while the person is being transported, hold the person in custody for a maximum period of 96 hours pending receipt by the Minister of a request under subsection (1).

(3) No authorisation for transit is required if the person being transported is transported by air and no landing is scheduled on Uganda territory.

(4) Notwithstanding subsection (1), the Minister may refuse a request for transit if the Minister considers that transit through Uganda would impede or delay the surrender or transfer of the person being transported.

(5) If an unscheduled landing occurs on Uganda territory, the Minister may require the ICC to submit a request for transit of the transferee under subsection (1) as soon as is reasonably practicable.

PART V
DOMESTIC PROCEDURES FOR OTHER TYPES OF COOPERATION.

Locating or identifying persons or things.

43. Assistance in locating or identifying persons or things.

(1) Where the ICC requests assistance under article 19(8), 56, 64, or 93(1)(a) of the Statute in locating, or identifying and locating, a person or a thing believed to be in Uganda, the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency, if he or she has reasonable grounds to believe the person to whom or the thing to which the request relates is, or may be in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the appropriate Ugandan agency shall, without delay—

(a) use its best endeavours to locate or, as the case may be, identify and locate the person to whom or thing to which the request relates; and

(b) advise the Minister of the outcome of those endeavours.

(3) This section shall not be construed as giving any person a power to enter property in order to locate a person or item.

44. Taking evidence.

(1) Where the ICC requests assistance under article 93(1)(b) of the Statute in the taking of evidence, the Minister shall give authority for the request to proceed and transmit the request to a Registrar, if the Minister has reasonable grounds to believe that the evidence can be taken in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the Registrar shall issue an order compelling the witness to appear at a specified time and place for the evidence to be taken.

(3) Where the ICC requests that a representative of the ICC or a representative of the person to whom the request relates be permitted to be present at the taking of the evidence, and to put questions to the witness, the Registrar shall make an order to that effect.

(4) An order made under subsection (3) may also provide—

(a) that the evidence shall be taken before a Judge, Registrar or any other person designated by the Registrar, including an official of the ICC;

(b) that the evidence shall be taken on oath or affirmation;

(5) In making an order under this section, the Registrar shall, to the greatest extent possible, comply with the terms of the request for assistance submitted by the ICC.

(6) Unless the Registrar orders that the evidence shall be taken in accordance with the Statute and Rules of Procedure and Evidence, the evidence shall be taken in accordance with the laws of Uganda.

(7) Notwithstanding an order made under subsection (5), a person compelled to give evidence under this section, shall have the same privileges in relation to answering questions as if the investigation or proceeding was being conducted in Uganda and the laws of Uganda relating to the nondisclosure of information, including national security information, shall apply.

(8) The Judge, Registrar or other person, taking evidence under this section shall—

(a) certify that the evidence was taken before him or her and that the persons named in the certificate were present when the evidence was taken; and

(b) cause the evidence together with the certificate to be transmitted to the Minister.

45. Production of documents and articles.

(1) Where the ICC requests assistance in the production of documents or articles under article 19(8), 56, 64, or 93(1)(b), of the Statute the Minister shall give authority for the request to proceed and transmit the request to a Registrar, if the Minister is satisfied that there are reasonable grounds to believe that the documents or articles can be produced in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the Registrar shall issue an order for the production of the documents or articles.

(3) The order may provide for any form of certification or authentication of the document or article as may be required by the ICC and may specify any other terms and conditions that may be appropriate in the circumstances.

(4) Where the documents and articles are produced, the Registrar shall cause them to be sent to the Minister, with a written statement signed by the Registrar, that they were produced to him or her.

46. Protection of witnesses.

(1) The applicable law with respect to compelling a person to appear before a Registrar under section 44 or section 45 and to give evidence or answer questions, or to produce documents or other articles, is the law specified in subsection (2); and that law applies with any necessary modifications.

(2) For the purposes of subsection (1), the applicable law is the law of Uganda that applies to the giving of evidence or the answering of questions or the production of documents or other articles on the hearing of a charge against a person for an offence against the laws of Uganda.

(3) Nothing in subsection (1) shall be construed as requiring a person to give evidence or answer any question or produce any document or article that the person could not be compelled to give or answer or produce in an investigation being conducted by the Prosecutor or in any proceedings before the ICC.

47. Assistance in questioning persons.

(1) Where the ICC requests assistance under article 19(8), 56, 64, or 93(1)(c) of the Statute in questioning a person who is being investigated or prosecuted, the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency if the Minister is satisfied that there are reasonable grounds to believe that the person is or maybe in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the appropriate Ugandan agency shall, without delay—

(a) use its best endeavours to undertake the questioning that the ICC has requested;

(b) ensure that the answers to the questions put are recorded in writing and make any other report on the questioning as it considers to be appropriate in the circumstances; and

(c) advise the Minister of the outcome of those endeavours and, if relevant, deliver the record and any report of the questioning to Minister.

(3) A person questioned under this section shall notwithstanding anything inconsistent in any other enactment, be entitled to all the rights referred to in article 55(2) of the Statute.

48. Assistance in arranging service of documents.

(1) Where the ICC requests assistance under any of article 19(8), 56, 58(7), 64, or 93(1)(d) of the Statute in arranging for the service of a document in Uganda, the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency if the Minister has reasonable grounds to believe that the person or body to be served is or may be in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the appropriate Ugandan agency shall, without delay—

(a) use its best endeavours to have the document served—

(i) in accordance with any procedure specified in the request; or

(ii) if that procedure would be unlawful or inappropriate in Uganda, or if no procedure is specified, in accordance with the law of Uganda; and

(b) transmit to the Minister—

(i) a certificate as to service, if the document is served; or

(ii) a statement of the reasons that prevented service, if the document is not served.

(3) In this section, document includes—

(a) a summons requiring a person to appear as a witness; and

(b) a summons to an accused that has been issued under article 58(7) of the Statute.

Facilitating appearance of witnesses.

49. Request for voluntary appearance of witness.

(1) Where the ICC requests assistance under article 19(8), 56, 64, or 93(1)(e) of the Statute in facilitating the voluntary appearance of a witness before the ICC the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency if the Minister is satisfied that there are reasonable grounds to believe that the witness is or may be in Uganda.

(2) In this section and in section 50 and 51, “witness” includes a person who may give expert evidence; but does not include—

(a) a person who has been accused of a crime in the proceedings to which the request relates; or

(b) a prisoner who is detained in relation to an offence against the law of Uganda.

50. Consent required.

The Ugandan agency to which a request is transmitted under section 49 shall make such inquiries as may be necessary to ascertain whether the prospective witness consents to giving evidence or assisting the ICC.

51. Minister may facilitate appearance.

(1) The Minister may assist in the making of arrangements to facilitate a witness’s attendance before the ICC if the Minister is satisfied that—

(a) the prospective witness has consented to giving the evidence or assistance requested; and

(b) the ICC has given any assurance requested by the Minister in respect of the witness including but not limited to an assurance that the witness will not be prosecuted or detained by the ICC in respect of any specified act or omission that occurred before the witness’s departure from Uganda.

(2) The Minister may—

(a) approve and make arrangements for the travel of the witness to the ICC at the cost of the ICC; including but not limited to, the obtaining of such approvals, authorities, and permissions as are required for that purpose, including, in the case of a person who although not liable to be detained in a prison is subject to a sentence—

(i) the variation, discharge, or suspension of the conditions of the person’s release from prison; or

(ii) the variation, cancellation, or suspension of the person’s sentence, or of the conditions of the person’s sentence; and

(b) take such other action for the purposes of subsection (1) as the Minister thinks appropriate.

Temporary transfer of prisoners.

52. Request for temporary transfer of prisoner.

Where the ICC requests assistance under article 93(1)(f) of the Statute in facilitating the temporary transfer to the ICC of a Uganda prisoner, the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency, if the Minister has reasonable grounds to believe that the prisoner’s assistance is sought for the purpose of identification or obtaining evidence or other assistance.

53. Consent required and assurances may be sought.

Where the Minister authorises and transmits a request under section 52, the appropriate Ugandan agency shall make such inquiries as may be necessary to ascertain whether the prisoner will consent to the transfer.

54. Minister may arrange for transfer.

(1) The Minister may authorise the temporary transfer of a Uganda prisoner to the ICC if the Minister is satisfied that—

(a) the prisoner has consented to giving the evidence or assistance requested; and

(b) the ICC has given any assurances requested by the Minister including but not limited to an assurance that the prisoner will not be released without prior approval of the Minister.

(2) Where the Minister authorises the temporary transfer of the prisoner to the ICC, the Minister may—

(a) direct that the prisoner be released from the prison in which that prisoner is detained, for the purpose of the transfer to the ICC; and

(b) make arrangements for the prisoner to travel to the ICC in the custody of a person authorised for the purpose by the ICC.

(3) A direction given by the Minister under subsection (2) in respect of a prisoner is sufficient authority for the release of the prisoner from the prison in which the prisoner is detained, for the purposes of the transfer.

(4) Every person released under a direction given under subsection (2) shall be treated, for the purposes of section 109 of the Penal Code Act (which relates to escaping from lawful custody) and for that purpose only, as continuing to be in the legal custody of the officer in charge of a prison from which he or she is so released, while in Uganda during the period of that release.

(5) Where there is any inconsistency between subsection (4) and the Prisons Act, subsection (4) prevails.

55. Effect of transfer on prisoner’s sentence.

Where a prisoner who is serving a sentence for a Uganda offence is transferred to the ICC—

(a) the prisoner shall be treated, while in custody outside Uganda in connection with the request, as being in custody for the purposes of the sentence imposed for the Uganda offence which shall continue to run; and

(b) the Minister—

(i) may at any time notify the ICC that the prisoner is no longer required to be kept in custody; and

(ii) shall notify the ICC if the prisoner is no longer liable to be detained in a Uganda prison.

Examination of places or sites.

56. Assistance in examining places or sites.

(1) Where the ICC requests assistance under article 19(8), 56, 64, or 93(1)(g) of the Statute in examining places or sites in Uganda, the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency if the Minister has reasonable grounds to believe that the place or site is located in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the appropriate Ugandan agency shall without delay—

(a) use its best endeavours to undertake the examination of the place or site in the manner that the ICC has requested;

(b) make such report on the examination as it considers to be appropriate in the circumstances; and

(3) This section shall not be construed as giving any person a power to enter a place or site.

Search and seizure.

57. Request for search and seizure.

(1) Where the ICC makes a request under article 19(8), 56, 64, or 93(1)(h) of the Statute for search and seizure, the Minister shall give authority for the request to proceed and authorise in writing, a police officer to apply to the magistrate for a search warrant if the Minister has reasonable grounds to believe that anything relevant to an investigation being conducted by the Prosecutor or proceeding before the ICC is or may be located in Uganda.

(2) Upon an application made to a magistrate under subsection (1) by a police officer authorised under that subsection, the Registrar may, if satisfied that there are reasonable grounds to believe that the thing specified in the request made by the ICC is located in Uganda, issue a warrant authorising that police officer or any other police officer specified in the warrant to search for and seize that thing.

(3) The magistrate may issue a warrant under subsection (2) subject to such conditions as he or she may think fit to impose.

(4) Subject to any condition specified in the warrant, a warrant issued under subsection (2) authorises the police officer executing the warrant—

(a) to enter and search any place or to stop and search any vehicle in which the thing specified in the warrant is located or held, at any time by day or night;

(b) to use such assistants as may be reasonable in the circumstances for the purpose of such entry and search;

(c) to use such force as is reasonable in the circumstances to effect entry to such place or to stop or board such vehicle, and for breaking any receptacle in which the thing specified in the warrant is placed; and

(d) to search for and seize the thing.

(5) A person called on to assist a police officer executing a warrant issued under subsection (2) may exercise the powers referred to in paragraph (c) and (d) of subsection (4).

(6) A police officer executing a warrant issued under subsection (2) shall—

(a) produce such warrant on initial entry, and if required to do so, at any time there after;

(b) give to the owner of the thing seized or any other person whom he or she has reason to believe has an interest in such thing, a notice specifying—

(i) the date and time of execution of the warrant;

(ii) the name and position of the person executing the warrant;

(iii) the thing seized under the warrant.

(7) A police officer seizing a thing under the authority of a warrant issued under subsection (2) shall deliver it into the custody and control of the Inspector General of Police.

(8) The Inspector General of Police shall inform the Minister that the thing has been delivered to him or her and await the Minister’s directions as to how the thing is to be dealt with.

(9) Except as otherwise provided in this section, the provisions of the Magistrates Courts Act relating to search and seizure generally, apply to a search and seize under this section.

58. Protecting victims and witnesses and preserving evidence.

(1) Where the ICC requests—

(a) assistance under article 93(1)(j) of the Statute in protecting victims and witnesses or preserving evidence;

(b) assistance under article 19(8), or paragraph (2) or (3) of article 56, in preserving evidence,

the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency if the Minister has reasonable grounds to believe that the assistance requested is not prohibited by Uganda law.

(2) Where the Minister authorises and transmits the request under subsection (1), the appropriate Ugandan agency shall without delay—

(a) use its best endeavours to give effect to the request;

(b) make such report on its endeavours as it considers to be appropriate in the circumstances; and

59. Request relating to property associated to crime.

(1) Where the ICC requests assistance under article 93(1)(k) in identifying, tracing and freezing or seizing property for the purpose of eventual forfeiture, the Minister shall give authority for the request to proceed and transmit the request to the appropriate Ugandan agency if the Minister has reasonable grounds to believe that the property is or may be located in Uganda.

(2) Where the Minister authorises and transmits the request under subsection (1), the appropriate Ugandan agency—

(a) shall use its best endeavours to give effect to the request; or

(b) may, where appropriate, apply to a Registrar for a freezing or seizing order with respect to the property.

(3) An application under subsection (2)(b) may be made ex parte and may be granted without a hearing.

(4) The Registrar considering an application under subsection (2)(b) may make a freezing or seizing order, as appropriate, if satisfied—

(a) that a forfeiture order has been made in proceedings before the ICC; or

(b) that there are reasonable grounds to believe that a forfeiture order may be made in such proceedings,

and that the property to which the order relates consists of or includes property that is or may be affected by such a forfeiture order.

(5) A freezing or seizing order shall provide for notice to be given to any persons with an interest in the property or otherwise affected by the order.

(6) A person affected by the order may apply to a Registrar for an order to vary or discharge the freezing or seizing order in relation to his or her interest.

(7) The Registrar may vary or discharge the order in relation to the interest of a person under subsection (6) only if the Registrar is satisfied that the applicant has an interest in the property, was not in any way involved in the commission of the crime to which the property relates, and had no basis to believe the property was the proceeds of, or associated with the crime.

(8) Subject to subsection (7), the property shall remain subject to the freezing or seizing order until the ICC issues a relevant forfeiture order in respect of the property or advises that no such order will be issued, in which case the property shall be discharged from the freezing order.

60. Refusal of request.

(1) The Minister shall refuse a request for assistance under this Part only if—

(a) the ICC has determined that the case to which the request relates is inadmissible on any ground;

(b) the ICC advises that it does not intend to proceed with the request for any reason, including but not limited to a determination of the ICC that article 98 of the Statute applies to the request; or

(c) the provision of the assistance is prohibited by the law of Uganda and the ICC does not accept the conditions, as contemplated by article 93(5) of the Statute, subject to which the Minister was willing to provide the assistance.

(2) The Minister may refuse a request for assistance under this Part only if—

(a) there are competing requests for assistance from the ICC and a state and the Minister has decided to proceed with the execution of the request of the state, in accordance with the principles established by article 90 of the Statute and section 41; or

(b) the Minister decides that the Part VII applies to the request.

(3) If the Minister decides to refuse a request for assistance in accordance with subsection (1) or (2) after he or she has transmitted the request to the appropriate Ugandan agency, he or she shall inform that agency not to take any further steps to execute the request.

61. Postponement of execution of request for assistance.

(1) The Minister may postpone the execution of a request for assistance under this Part only if—

(a) a determination on admissibility is pending before the ICC;

(b) the execution of the request would interfere with an investigation or prosecution in Uganda involving a different offence from that for which the assistance is requested;

(c) the Minister is consulting with the ICC under section 24(6) as to whether or not article 98 of the Statue applies to execution of the request; or

(d) there are competing requests for assistance from ICC and a state, and the Minister in consultation with ICC and the state decides to postpone the execution of the ICC’s request.

(2) If execution of the request for assistance is postponed under subsection (1)(a) and the ICC decides that the case is admissible, the Minister shall proceed with the execution of the request as soon as possible after the decision.

(3) If the execution of the request for assistance is postponed under subsection (1)(b), the Minister shall consult with the ICC and agree on a period of time for postponement of the execution of the request in accordance with article 94 of the Statute; and the Minister shall proceed with execution of the request after the lapse of the period, unless otherwise agreed with the ICC.

(4) If execution of the request for assistance is postponed under subsection (1)(c) and the ICC decides to proceed with the request, the Minister shall proceed with the execution of the request as soon as possible after the decision.

(5) If the execution of the request for assistance is postponed under subsection (1)(d), the Minister shall proceed with the execution of the ICC’s request as soon as practicable.

(6) If the Minister decides to postpone execution of a request for assistance in accordance with this section after he or she has transmitted the request for execution to the appropriate Ugandan agency, he or she shall direct that agency to postpone the execution of the request for such period as is specified in the direction.

(7) A decision by the Minister to postpone the execution of a request does not affect the validity of any act that has been done or any warrant or order made under this Part prior to the decision, and any such warrant or order remains in effect unless cancelled.

Supplementary provisions.

62. Verification of material.

Where, in order to comply with a request of the ICC for assistance it is necessary for any evidence or other material obtained under this part to be verified in any manner, the Minister may give directions as to the nature of the verification required.

63. Transmission of material to ICC.

(1) Any evidence or other material obtained under this Part by a person other than the Minister together with any requisite verification shall be sent to the Minister for transmission to ICC.

(2) Where any evidence or other material is to be transmitted to the ICC there shall be transmitted—

(a) where the material consists of a document, the original or a copy; and

(b) where the material consists of any other article, the article itself or a photograph or other description of it as may be necessary to comply with the request of the ICC.

PART VI
ENFORCEMENT OF PENALTIES.

Assistance with enforcement of victim reparation, fines and forfeiture orders.

64. Enforcement of orders for victim reparation.

(1) Where the ICC requests enforcement in accordance with article 109 of the Statute of an order requiring reparation made under article 75 of the Statute, the Minister shall give authority for the request to proceed, if he or she has reasonable grounds to believe that—

(a) neither the conviction in respect of which the order was imposed nor the order requiring reparation is subject to further appeal; and

(b) the order can be enforced in the manner provided in this section, and shall refer the request to the appropriate Ugandan agency.

(2) The appropriate Ugandan agency shall, without delay—

(a) in a case where the order requires a monetary payment, take such steps as are necessary to enforce the order as if it were a sentence of compensation imposed under section 126 of the Trial on Indictments Act; or

(b) in a case where the order requires the restitution of assets, property or other tangible items, take such steps as are necessary to enforce the order as if it were an order for the restitution of property made under section 129 of the Trial on Indictments Act; or

(d) shall, without delay, make such report to the Minister on the results of any action taken as it considers to be appropriate in the circumstances.

(3) Nothing in this section shall be construed as limiting or affecting the provision of other types of assistance to the ICC in relation to an order made under article 75 of the Statute.

65. Enforcement of fines.

(1) Where the ICC requests enforcement in accordance with article 109 of the Statute of an order for the payment of a fine made under article 77(2)(a) of the Statute, the Minister shall give authority for the request to proceed, if he or she has reasonable grounds to believe that—

(a) neither the conviction in respect of which the order was imposed, nor the order for the payment of the fine is subject to further appeal; and

(b) the order can be enforced in the manner provided in this section, and shall refer the request to the appropriate Ugandan agency.

(2) The appropriate Ugandan agency shall, without delay—

(a) take such steps as are necessary to enforce the order as if it were a fine imposed on conviction under section 110 or 111 of the Trial on Indictments Act; and

(b) make such report to the Minister on the results of any action taken as it considers to be appropriate in the circumstances.

(3) Nothing in this section shall be construed as limiting or affecting the provision of other types of assistance to the ICC in relation to a penalty imposed under article 77 of the Statute.

66. Enforcement of forfeiture orders.

(1) Where the ICC requests enforcement in accordance with article 109 of the Statute, of an order for forfeiture of property made under article 77(2)(b) of the Statute, the Minister shall give authority for the request to proceed if he or she has reasonable grounds to believe that—

(a) neither the conviction in respect of which the order was imposed, nor the forfeiture order, is subject to further appeal; and

(b) the property identified by the ICC is located in Uganda or that the person concerned, directly or indirectly, holds property in Uganda that may be the subject of the forfeiture order,

and shall refer the request to the Registrar for enforcement in accordance with this section.

(2) Upon receipt of a referral under subsection (1), the Registrar shall file the original or a certified copy of the forfeiture order of the ICC with the High Court and upon being filed, the order shall be entered as a judgement of that court.

(3) Upon the entry of the order, the High Court may direct the Registrar to do either or both of the following—

(a) give notice of the entry, in the manner and within the time the Court considers appropriate to such persons, other than a person convicted of an offence in respect of which the order was made, as the Court has reason to believe may have an interest in the property;

(b) publish notice of the entry in the manner and within the time the Court considers appropriate.

(4) A forfeiture order entered under subsection (2) shall have, from the date it is entered, the same effect and may be enforced as if it were an order for the forfeiture of property issued by the High Court.

(5) A forfeiture order entered under subsection (2) may not be enforced until the expiry of any period set by the Court in any notice given or published under subsection (3), or two months from the entry of the order, whichever is the longer period.

(6) If a forfeiture order is entered under subsection (2), a person, other than a person convicted of an offence in respect of which the order was made, who claims an interest in the property, may apply to the High Court, with notice to the Registrar.

(7) A person on whom notice of the hearing of the ICC held in connection with the making of the forfeiture order was served or who appeared at the hearing may not make an application under subsection (6) without leave of the Court.

(8) The High Court shall grant leave under subsection (7) only where it determines that it would be contrary to the interests of justice not to do so.

(9) An application under subsection (6) shall be made before the expiry of any period set in a notice under subsection (3) or within two months of the entry of the order, whichever is the longer period, unless the Court grants leave.

(10) On an application under subsection (6), the Court may make an order setting aside an entry in whole or in part if satisfied that—

(a) the applicant has an interest in the property;

(b) the applicant did not receive notice of the hearing before the ICC or through no fault of his or her own, did not appear;

(c) the applicant was not in any way involved in the commission of the offence in respect of which the order was made; and

(d) the applicant had no knowledge that the property constituted the proceeds of, or was associated with, the crime.

(11) In the circumstances described in subsection (10)(a), the Court may—

(a) declare the nature, extent and value of the applicant’s interest in the property; and

(b) either direct that the interest be transferred to the applicant or that payment be made to the applicant of an amount equivalent to the value of the interest.

Enforcement of ICC sentences in Uganda.

67. Uganda may act as State of enforcement.

(1) The Minister may notify the ICC that Uganda is willing to allow persons who are ICC prisoners as a result of being sentenced to imprisonment by the ICC to serve those sentences in Uganda, subject to any conditions consistent with the State and Rules, specified in the notification.

(2) The Minister shall, before issuing a notification under subsection (1) consult with the Minister responsible for internal affairs.

68. Request for sentence to be served in Uganda.

(1) Where—

(a) the Minister has issued a notification under section 67 and has not withdrawn that notification and the ICC imposes a sentence of imprisonment under the Statute on a person—

(i) convicted of a crime; or

(ii) convicted of an offence against the administration of justice; and

(b) the ICC designates Uganda, under article 103 of the Statute, as the State in which the sentence is to be served,

the Minister shall consider whether to accept the designation.

(2) The Minister may accept the designation of Uganda as the State in which the sentence is to be served if the Minister is satisfied that ICC has agreed to the conditions specified in the notification specified under section 67, and in the case of a prisoner who is not a Uganda citizen, the Minister responsible for internal affairs has consented to the sentence being served in Uganda.

69. Prisoner to be held in custody.

(1) Where the Minister accepts the designation of Uganda as the State in which a sentence of imprisonment imposed by the ICC is to be served, the ICC prisoner may be transported to Uganda in the custody of a person authorised for the purpose by the ICC.

(2) On arrival in Uganda or, if the person is already in Uganda when the sentence is imposed, on the imposition of the sentence, the ICC prisoner shall be detained in accordance with the Prisons Act as if the prisoner had been sentenced to imprisonment under Uganda law.

(3) Notwithstanding anything in subsection (2) or in any other enactment—

(a) the ICC prisoner has the right to communicate on a confidential basis with the ICC, without impediment from any person;

(b) a Judge of the ICC or a member of the staff of the ICC may visit the ICC prisoner for the purpose of hearing any representations by the prisoner without the presence of any other person, except any representative of the prisoner.

(4) The enforcement of a sentence of imprisonment, including any decision to release or transfer the ICC prisoner shall be in accordance with Part 10 of the Statute and the Rules.

(5) The provisions of the Prisons Act relating to remission, review of sentences and parole shall not apply to a sentence imposed by the ICC.

70. Issue of statutory order for transfer of prisoner to Uganda.

(1) The Minister may issue a statutory order, in the prescribed form, for the transfer of an ICC prisoner to Uganda from another state if the consent of the Minister responsible for internal affairs to the sentence being served in Uganda has been obtained.

(2) The statutory order for the transfer of an ICC prisoner to Uganda authorises the transfer of the prisoner to Uganda to serve the sentence of imprisonment imposed by ICC in accordance with the enforcement conditions specified in the notification issued under section 67.

(3) The statutory order issued under subsection (1) shall—

(a) specify the name and date of birth of the prisoner to be transferred;

(b) specify the state from which the prisoner is to be transferred;

(i) the ICC’s Agreement to the conditions referred to in subsection (2);

(ii) the written consent of prisoner or his or her representative to the sentence being served in Uganda; and

(iii) the consent of the Minister responsible for internal affairs to the sentence being served in Uganda.

71. Transfer of prisoners to ICC for review of sentence.

(1) Where the ICC, under article 110 of the Statute, decides to review the sentence of an ICC prisoner who is serving that sentence in Uganda, the Minister shall direct that the prisoner be transferred to the ICC, at the expense of the ICC, for the purposes of enabling the ICC to review the prisoner’s sentence.

(2) The ICC prisoner shall be transferred to and from the ICC in the custody of a person authorised for the purpose by the ICC.

72. Transfer of prisoner to another State to complete sentence.

(1) An ICC prisoner serving a sentence in Uganda may, at any time apply to the ICC to be transferred from Uganda to complete service of sentence in another state.

(2) Where an ICC prisoner of any nationality is to be transferred from Uganda to another State to complete that sentence, the prisoner may be transported from Uganda to that State in the custody of a person authorised for the purpose by the ICC at the expense of ICC.

Certificates and removal orders.

73. Certificate giving temporary authority to remain in Uganda.

(1) A certificate issued by the Minister under this section—

(a) may be issued for a period, not exceeding three months, specified in the certificate;

(b) may, from time to time, be renewed for one further period not exceeding three months; and

(2) The certificate is, while it remains in force, sufficient authority for the person named in the certificate to remain in Uganda.

(3) If the Minister issues a certificate under subsection (1), the Minister may refer the person’s case to the Minister responsible for immigration for consideration under the Uganda Citizenship and Immigration Control Act and in that case, that Act applies for the purposes of this section, as if the person were a person required to hold a permit under the Uganda Citizenship and Immigration Control Act to be in Uganda.

(4) Except as provided in subsection (3), nothing in the Uganda Citizenship and Immigration Control Act applies to the person named in the certificate while the certificate is in force.

74. Cancellation of certificate.

The Minister shall cancel the certificate issued under section 73 and make a removal order under section 76 in respect of a person if—

(a) where the Minister has referred the person’s case to the Minister responsible for immigration under section 73(3)—

(i) the Minister responsible for immigration has declined to grant a permit under the Uganda Citizenship and Immigration Control Act; and

(ii) there do not appear to the Minister to be any other grounds on which the person should be permitted to remain in Uganda;

(b) in any other case, there do not appear to the Minister to be any other grounds on which the person should be permitted to remain in Uganda.

75. Further provisions relating to certificate.

(1) If a certificate issued under section 73 orders that a person be taken into custody, the certificate is sufficient authority for a police officer to arrest the person and take him or her into custody.

(2) A person who is taken into custody under this section shall, unless sooner released, be brought before a Registrar as soon as possible and, after that, every 15 days while the certificate is in force to determine, in accordance with subsection (3), if the person should be detained in custody or released pending the decisions referred to in section 74.

(3) If a person is brought before a Registrar under subsection (2), the Registrar may, if the Registrar is satisfied that the person is the person named in the certificate—

(a) issue a warrant for the detention of the person in custody if the Registrar is satisfied that, if not detained, the person is likely to abscond; or

(b) order the release of the person subject to such conditions, if any, that the Registrar thinks fit.

(4) A warrant for the detention of the person issued under subsection (3)(a) may authorise the detention of the person in a prison.

76. Removal order.

(1) A removal order made by the Minister under this section—

(a) may either—

(i) require the person who is the subject of the order to be released into or taken into the custody of a police officer; or

(ii) if the person is not in custody, authorise any police officer to take the person into custody; and

(b) shall specify that the person is to be taken by a police officer and placed on board any aircraft for the purpose of effecting the person’s removal from Uganda; and

(2) The removal order shall be served on the person named in the order by personal service.

(3) If the removal order authorises the detention of the person in custody, the person may be detained in a prison or at an airport.

(4) A removal order made under this section shall continue in force until it is executed or cancelled.

(5) In this section, “personal service”, in relation to a removal order, means personal delivery of the order to the person to whom it relates or, if the person refuses to accept the order, bringing the order to the person’s attention.

77. Delay in removal.

(1) If a person is not able to be conveyed out of Uganda within 48 hours after service of a removal order issued under section 76, the person shall be brought before a Registrar to determine, in accordance with subsection (2), whether the person should be detained in custody or released pending removal from Uganda.

(2) If a person is brought before a Registrar under subsection (1), the Registrar may, if she or he is satisfied that the person is the person named in the order—

(a) issue a warrant for the detention of the person in custody if the Registrar is satisfied that, if not detained, the person is likely to abscond; or

(b) order the release of the person subject to such conditions, if any, that the Registrar thinks fit.

(3) A warrant for the detention of the person issued under subsection (2)(a) may authorise the detention of the person in any place specified in section 76(3).

78. Special rules in certain cases.

(1) An ICC prisoner serving a sentence in Uganda shall not—

(a) be extradited to another country on completion of his or her sentence; or

(b) be required to undergo trial for a Uganda offence that relates to an act or omission that occurred before the designation referred to in section 68(1)(b), without the prior Agreement of the ICC.

(2) Subsection (1) shall not apply to an ICC prisoner who remains voluntarily in Uganda for more than 30 days after the date of completion of, or release from, the sentence imposed on him or her by the ICC or who voluntarily returns to Uganda after having left Uganda.

79. Immigration permit not required.

A person to whom this Part applies is not required to hold a permit under the Uganda Citizenship and Immigration Control Act if, and for so long as, he or she is in Uganda in accordance with this Part, whether or not he or she is in custody.

80. Ugandan citizens.

Nothing in this Part authorises the making of a removal order under section 76 in respect of a Ugandan citizen.

PART VII
PROTECTION OF NATIONAL SECURITY OR THIRD PARTY INFORMATION.

National security.

81. National security issues to be dealt with under article 72.

If an issue relating to Uganda’s national security interests arises at any stage of any proceedings before the ICC, the issue shall be dealt with in the manner provided in article 72 of the Statute and this Part.

82. Part 9 request involving national security.

(1) If a request for assistance made under Part 9 of the Statute appears to concern the production of any documents or disclosure of evidence that would, in the opinion of the Minister, prejudice Uganda’s national security interests, that request shall be dealt with in accordance with the process specified in sections 85 and 86.

(2) If, having followed the specified process the matter is not able to be resolved, the Minister may refuse the request or decline to authorise the production of the documents or giving of the evidence, as the case may be.

83. Information or evidence involving national security.

(1) This section applies if a person who has been requested to give information or evidence—

(a) refuses to do so on the ground that disclosure would prejudice the national security interests of Uganda; or

(b) refers the matter to the Minister on the ground that disclosure would prejudice the national security interests of Uganda.

(2) If this section applies, the Minister shall determine whether or not he or she is of the opinion that the giving of information or evidence would prejudice Uganda’s national security interests.

(3) If the Minister confirms that he or she is of the opinion that disclosure would prejudice Uganda’s national security interests, the matter shall be dealt with in accordance with the process specified in sections 85 and 86.

(4) If, having following the specified process, the matter has not been resolved, the Minister may refuse the request or decline to authorise the provision of the information or giving of the evidence, as the case may be.

84. Other situations involving national security.

(1) If, in any circumstances other than those specified in sections 82 and 83, the Minister is of the opinion that the disclosure of information or documents to the ICC would prejudice Uganda’s national security interests, the matter shall be dealt with in accordance with the process specified in sections 85 and 86.

(2) Without limiting subsection (1), this section applies if the Minister learns that information or documents are being, or are likely to be, disclosed at any stage of the proceedings, and intervenes in accordance with article 72(4) of the Statute.

(3) Where, having followed the specified process, the matter has not been resolved and the ICC has not made an order for disclosure under article 72(7)(b)(i) of the Statute, the Minister may refuse the request or decline to authorise the provision of the information or giving of the evidence, as the case may be.

85. Consultation with ICC required.

The Minister shall consult with the ICC and, if appropriate, the defence, in accordance with article 72(5) of the Statute.

86. Procedure where no resolution.

(1) If, after consultation, the Minister considers that there are no means or conditions under which the information or documents or evidence could be provided or disclosed or given without prejudice to Uganda’s national security interests, the Minister shall notify the ICC, in accordance with article 72(6) of the Statute, of the specific reasons for his or her decision, unless a specific description of the reasons would result itself in prejudice to Uganda’s national security interests.

(2) The Minister shall use his or her best endeavours with a view to reaching a mutually satisfactory outcome if—

(a) the ICC determines that the evidence is relevant and necessary for the establishment of the guilt or innocence of the accused;

(b) the issue of disclosure arises in the circumstances specified in section 82 or 83 and the Minister is of the opinion that Uganda’s national security interests would be prejudiced by disclosure; and

(c) the ICC requests further consultations for the purpose of considering the representations, which may include hearings in camera and ex parte.

(3) The Minister shall comply with an ICC disclosure order if—

(a) the ICC determines that the evidence is relevant and necessary for the establishment of the guilt or innocence of the accused person;

(b) the issue of disclosure arises in the circumstances specified in section 84(1); and

87. Minister to take into account ICC’s ability to refer matter to the Security Council.

In determining what action to take in relation to a matter to which this Part applies, the Minister shall take into account the power of the ICC to refer a matter to the Assembly of States Parties or to the Security Council in accordance with article 87(7) of the Statute if the ICC considers that a requested State is not acting in accordance with its obligations under the Statute.

Information provided by third party.

88. Disclosure of information provided by third party.

(1) If the ICC requests the provision of a document or information that was provided or disclosed to Uganda in confidence by another State, intergovernmental organisation, or international organisation, the Minister shall seek the consent of the originator before providing that document or information to the ICC.

(2) If the originator is a State Party that consents to disclosure of the information or document, the Minister shall, subject to article 72 of the Statute, provide that information or document to the ICC.

(3) If the originator is a State Party that undertakes to resolve the issue of disclosure with the ICC under article 73 of the Statute, the Minister shall inform the ICC of that undertaking.

(4) If the originator is not a State Party and refuses to consent to disclosure, the Minister shall inform the ICC that he or she is unable to provide the document or information because of an existing obligation of confidentiality to the originator.

89. Request for Uganda’s consent to disclosure.

(1) If a request is received from another State for Uganda’s consent to the disclosure to the ICC of a document or information that had been disclosed to the State in confidence, the Minister shall either—

(a) consent to the disclosure; or

(b) undertake to resolve the matter with the ICC under article 73 of the Statute.

(2) The provision of an undertaking under subsection (1)(b) does not prevent the Minister from refusing the assistance sought in accordance with section 88(4).

PART VIII
INVESTIGATIONS OR SITTINGS OF ICC IN UGANDA.

90. Prosecutor may conduct investigations in Uganda.

The Prosecutor may conduct investigations in Ugandan territory—

(a) in accordance with the provisions of Part 9 of the Statute; or

(b) as authorised by the Pre-Trial Chamber under article 57(3)(d) of the Statute.

91. ICC sittings in Uganda.

The ICC may sit in Uganda for the purpose of performing its functions under the Statute and under the Rules, including, without limitation—

(a) taking evidence;

(b) conducting or continuing a proceeding;

(d) reviewing a sentence.

92. ICC powers while sitting in Uganda.

(1) While the ICC is sitting in Uganda, it may perform and exercise its functions and powers as provided under the Statute and under the Rules.

(2) In the performance of its functions, the ICC shall have the power—

(a) to issue summons or other orders requiring the attendance of any person before the ICC and the production of any document or record relevant to any investigation by the ICC;

(b) to question any person in respect of any subject matter under investigation before the ICC;

(c) to require any person to disclose any information within his or her knowledge relevant to any investigation by the ICC; and

(d) to commit persons for contempt of its orders.

93. ICC may administer oaths in Uganda.

The ICC may, at any sitting of the ICC in Uganda, administer an oath or affirmation giving an undertaking as to truthfulness in accordance with the practice and procedure of the ICC.

94. Orders made by ICC not subject to review.

No application for review and no application for an order of mandamus or prohibition or certiorari or for a declaration or injunction may be entertained in respect of any judgement or order or determination of the ICC that is made or given at a sitting of the ICC in Uganda.

95. Power to detain ICC prisoners in Uganda prison.

(1) A person in Uganda shall be kept in such custody as the Minister directs in writing if—

(a) the ICC holds any sitting in Uganda; and

(b) the ICC requests that the person whose presence is required at the proceedings be held in custody as an ICC prisoner while the sitting continues in Uganda.

(2) A direction given under subsection (1) in respect of an ICC prisoner is sufficient authority for the detention of that prisoner in accordance with the terms of the direction.

(3) If an ICC prisoner is directed to be detained in a prison under subsection (1), the Prisons Act so far as applicable and with all necessary modifications, shall apply with respect to that prisoner as if the prisoner had been remanded in custody or sentenced to imprisonment for an Uganda offence, as the case may require, and is liable to be detained in a prison under such an order or sentence.

(4) For the purposes of section 109 of the Penal Code (which relates to escape from lawful custody) and section 110 (which relates to aiding prisoners to escape) an ICC prisoner who is in custody in a Uganda prison or other detention facility shall be deemed to be in lawful custody while in Uganda.

96. Removal of ICC prisoner.

If the Minister is satisfied that the presence of an ICC prisoner who was the subject of a direction under section 95(1) is no longer necessary, sections 77 to 80 apply with any necessary modifications to that person.

PART IX
REQUESTS TO ICC FOR ASSISTANCE.

97. Minister may request assistance from ICC.

The Minister may make a request to the ICC for assistance in accordance with this Part in an investigation into, or trial in respect of, conduct that may constitute a crime within the jurisdiction of the ICC or that constitutes a crime for which the maximum penalty under Uganda law is a term of imprisonment of not less than five years.

98. Urgent requests.

An urgent request for assistance may be made or transmitted to the ICC in the manner specified in article 96(1) of the Statute.

99. Types of requests to ICC.

A request may be made under this Part for any assistance that the ICC may lawfully give including, but not limited to—

(a) the transmission of statements, documents, or other types of evidence obtained in the course of an investigation or a trial conducted by the ICC; and

(b) the questioning of any person detained by order of the ICC.

PART X
MISCELLANEOUS PROVISIONS.

100. Certificates given by Minister.

(1) If the Minister receives a request for assistance from the ICC to which Part V relates, the Minister may give a certificate certifying all or any of the following facts—

(a) that a request for assistance has been made by the ICC;

(b) that the request meets the requirements of this Act; and

(2) In any proceeding under this Act, a certificate purporting to have been given under subsection (1) shall, in the absence of proof to the contrary, be sufficient evidence of the matters certified by the certificate.

101. Legal personality and privileges and immunities.

(1) The ICC shall have legal personality in Uganda with such legal capacity as may be necessary for the performance of its functions and the fulfilment of its purposes.

(2) The ICC shall have the capacity to contract, to acquire and dispose of immovable and movable property and to participate in legal proceedings.

(3) The Judges, the Prosecutor, the Deputy Prosecutors, the Registrar, the Deputy Registrar, staff and personnel of the Office of the Prosecutor and of the Registry, counsel and persons assisting defence counsel, witnesses, victims, experts and other persons required to be in Uganda for the performance of official functions or for participation in proceedings relating to the ICC shall have the privileges and immunities as set out in article 48 of the Statute and the Agreement on the Privileges and Immunities of the International Criminal Court.

(4) Article 48 of the Statute and articles 2-11, 13-22, 25-27, 29, and 30 of the Agreement on the Privileges and Immunities of the International Criminal Court shall have the force of law in Uganda and references in those articles to the State Party shall, for this purpose, be construed as references to the Republic of Uganda.

102. Regulations.

(1) The Minister may, by statutory instrument, make regulations for all or any of the following purposes—

(a) prescribing the procedure to be followed in dealing with requests made by the ICC, and providing for notification of the results of action taken in accordance with any such request;

(b) providing for temporary surrender of a person;

(c) prescribing the procedures for obtaining evidence or producing documents or other articles in accordance with a request made by the ICC;

(d) providing for the payment of fees, travelling allowances, and expenses to any person in Uganda who gives or provides evidence or assistance pursuant to a request made by the ICC;

(e) prescribing conditions for the protection of any property sent to the ICC pursuant to a request made under this Act, and making provision for the return of property in Uganda in accordance with a request;

(f) providing for management and disposal of property under a freezing, seizing or forfeiture order;

(g) prescribing the forms of applications, notices, certificates, warrants and other documents for the purposes of this Act, and requiring the use of such forms; and

(h) providing for any other matters contemplated by this Act, necessary for its implementation, or necessary for giving it full effect.

(2) Without limiting subsection (1), the Minister may, by statutory instrument, make regulations to implement any obligation that is placed on States Parties by the Rules of Evidence and Procedure if that obligation is not inconsistent with the provisions of this Act.

Schedule 1.
Rome Statute of the International Criminal Court.

s. 4.

Preamble

THE STATES PARTIES TO THIS STATUTE,

CONSCIOUS that all peoples are united by common bonds, their cultures pieced together in a shared heritage, and concerned that this delicate mosaic may be shattered at any time,

MINDFUL that during this century millions of children, women and men have been victims of unimaginable atrocities that deeply shock the conscience of humanity,

RECOGNISING that such grave crimes threaten the peace, security and wellbeing of the world,

AFFIRMING that the most serious crimes of concern to the international community as a whole must not go unpunished and that their effective prosecution must be ensured by taking measures at the national level and by enhancing international cooperation,

DETERMINED to put an end to impunity for the perpetrators of these crimes and thus to contribute to the prevention of such crimes,

RECALLING that it is the duty of every State to exercise its criminal jurisdiction over those responsible for international crimes,

REAFFIRMING the Purposes and Principles of the Charter of the United Nations, and in particular that all States shall refrain from the threat or use of force against the territorial integrity or political independence of any State, or in any other manner inconsistent with the Purposes of the United Nations,

EMPHASISING in this connection that nothing in this Statute shall be taken as authorising any State Party to intervene in an armed conflict or in the internal affairs of any State,

DETERMINED to these ends and for the sake of present and future generations, to establish an independent permanent International Criminal Court in relationship with the United Nations system, with jurisdiction over the most serious crimes of concern to the international community as a whole,

EMPHASISING that the International Criminal Court established under this Statute shall be complementary to national criminal jurisdictions,

RESOLVED to guarantee lasting respect for and the enforcement of international justice,

HAVE AGREED AS FOLLOWS:

Schedule 1.
Rome Statute of the International Criminal Court.

ARRANGEMENT OF ARTICLES.

Article

PART I
ESTABLISHMENT OF THE COURT.

Article 1. The Court.

Article 2. Relationship of the Court with the United Nations.

Article 3. Seat of the Court.

Article 4. Legal status and powers of the Court.

PART II
JURISDICTION, ADMISSIBILITY AND APPLICABLE LAW.

Article 5. Crimes within the jurisdiction of the Court.

Article 6. Genocide.

Article 7. Crimes against humanity.

Article 8. War crimes.

Article 9. Elements of Crimes.

Article 10.

Article 11. Jurisdiction ratione temporis.

Article 12. Preconditions to the exercise of jurisdiction.

Article 13. Exercise of jurisdiction.

Article 14. Referral of a situation by a State Party.

Article 15. Prosecutor.

Article 16. Deferral of investigation or prosecution.

Article 17. Issues of admissibility.

Article 18. Preliminary rulings regarding admissibility.

Article 19. Challenges to the jurisdiction of the Court or the admissibility of a case.

Article 20. Ne bis in idem.

Article 21. Applicable law.

PART III
GENERAL PRINCIPLES OF CRIMINAL LAW.

Article 22. Nullum crimen sine lege.

Article 23. Nulla poena sine lege.

Article 24. Nonretroactivity ratione personae.

Article 25. Individual criminal responsibility.

Article 26. Exclusion of jurisdiction over persons under 18.

Article 27. Irrelevance of official capacity.

Article 28. Responsibility of commanders and other superiors.

Article 29. Nonapplicability of statute of limitations.

Article 30. Mental element.

Article 31. Grounds for excluding criminal responsibility.

Article 32. Mistake of fact or mistake of law.

Article 33. Superior orders and prescription of law.

PART IV
COMPOSITION AND ADMINISTRATION OF THE COURT.

Article 34. Organs of the Court.

Article 35. Service of judges.

Article 36. Qualifications, nomination and election of judges.

Article 37. Judicial vacancies.

Article 38. The Presidency.

Article 39. Chambers.

Article 40. Independence of the judges.

Article 41. Excusing and disqualification of judges.

Article 42. The Office of the Prosecutor.

Article 43. The Registry.

Article 44. Staff.

Article 45. Solemn undertaking.

Article 46. Removal from office.

Article 47. Disciplinary measures.

Article 48. Privileges and immunities.

Article 49. Salaries, allowances and expenses.

Article 50. Official and working languages.

Article 51. Rules of Procedure and Evidence.

Article 52. Regulations of the Court.

PART V
INVESTIGATION AND PROSECUTION.

Article 53. Initiation of an investigation.

Article 54. Duties and powers of the Prosecutor with respect to investigations.

Article 55. Rights of persons during an investigation.

Article 56. Role of the Pre-Trial Chamber in relation to a unique investigative opportunity.

Article 57. Functions and powers of the Pre-Trial Chamber.

Article 58. Issuance by the Pre-Trial Chamber of a warrant of arrest or a summons to appear.

Article 59. Arrest proceedings in the custodial State.

Article 60. Initial proceedings before the Court.

Article 61. Confirmation of the charges before trial.

PART VI
THE TRIAL.

Article 62. Place of trial.

Article 63. Trial in the presence of the accused.

Article 64. Functions and powers of the Trial Chamber.

Article 65. Proceedings on an admission of guilt.

Article 66. Presumption of innocence.

Article 67. Rights of the accused.

Article 68. Protection of the victims and witnesses and their participation in the proceedings.

Article 69. Evidence.

Article 70. Offences against the administration of justice.

Article 71. Sanctions for misconduct before the Court.

Article 72. Protection of national security information.

Article 73. Third party information or documents.

Article 74. Requirements for the decision.

Article 75. Reparations to victims.

Article 76. Sentencing.

PART VII
PENALTIES.

Article 77. Applicable penalties.

Article 78. Determination of the sentence.

Article 79. Trust Fund.

Article 80. Nonprejudice to national application of penalties and national laws.

PART VIII
APPEAL AND REVISION.

Article 81. Appeal against decision of acquittal or conviction or against sentence.

Article 82. Appeal against other decisions.

Article 83. Proceedings on appeal.

Article 84. Revision of conviction or sentence.

Article 85. Compensation to an arrested or convicted person.

PART IX
INTERNATIONAL COOPERATION AND JUDICIAL ASSISTANCE.

Article 86. General obligation to cooperate.

Article 87. Requests for cooperation: general provisions.

Article 88. Availability of procedures under national law.

Article 89. Surrender of persons to the Court.

Article 90. Competing requests.

Article 91. Contents of request for arrest and surrender.

Article 92. Provisional arrest.

Article 93. Other forms of cooperation.

Article 94. Postponement of execution of a request in respect of ongoing investigation or prosecution.

Article 95. Postponement of execution of a request in respect of an admissibility challenge.

Article 96. Contents of request for other forms of assistance under article 93.

Article 97. Consultations.

Article 98. Cooperation with respect to waiver of immunity and consent to surrender.

Article 99. Execution of requests under articles 93 and 96.

Article 100. Costs.

Article 101. Rule of speciality.

Article 102. Use of terms.

PART X—ENFORCEMENT.

Article 103. Role of States in enforcement of sentences of imprisonment.

Article 104. Change in designation of State of enforcement.

Article 105. Enforcement of the sentence.

Article 106. Supervision of enforcement of sentences and conditions of imprisonment.

Article 107. Transfer of the person upon completion of sentence.

Article 108. Limitation on the prosecution or punishment of other offences.

Article 109. Enforcement of fines and forfeiture measures.

Article 110. Review by the Court concerning reduction of sentence.

Article 111. Escape.

PART XI
ASSEMBLY OF STATES PARTIES.

Article 112. Assembly of States Parties.

PART XII
FINANCING.

Article 113. Financial Regulations.

Article 114. Payment of expenses.

Article 115. Funds of the Court and of the Assembly of States Parties.

Article 116. Voluntary contributions.

Article 117. Assessment of contributions.

Article 118. Annual audit.

PART XIII
FINAL CLAUSES.

Article 119. Settlement of disputes.

Article 120. Reservations.

Article 121. Amendments.

Article 122. Amendments to provisions of an institutional nature.

Article 123. Review of the Statute.

Article 124. Transitional Provision.

Article 125. Signature, ratification, acceptance, approval or accession.

Article 126. Entry into force.

Article 127. Withdrawal.

Article 128. Authentic texts.

PART I
ESTABLISHMENT OF THE COURT.

Article 1.
The Court.

An International Criminal Court (“the Court”) is hereby established. It shall be a permanent institution and shall have the power to exercise its jurisdiction over persons for the most serious crimes of international concern, as referred to in this Statute, and shall be complementary to national criminal jurisdictions. The jurisdiction and functioning of the Court shall be governed by the provisions of this Statute.

Article 2.
Relationship of the Court with the United Nations.

The Court shall be brought into relationship with the United Nations through an agreement to be approved by the Assembly of States Parties to this Statute and thereafter concluded by the President of the Court on its behalf.

Article 3.
Seat of the Court.

1. The seat of the Court shall be established at The Hague in the Netherlands (“the host State”).

2. The Court shall enter into a headquarters agreement with the host State, to be approved by the Assembly of States Parties and thereafter concluded by the President of the Court on its behalf.

3. The Court may sit elsewhere, whenever it considers it desirable, as provided in this Statute.

Article 4.
Legal status and powers of the Court.

1. The Court shall have international legal personality. It shall also have such legal capacity as may be necessary for the exercise of its functions and the fulfilment of its purposes.

2. The Court may exercise its functions and powers, as provided in this Statute, on the territory of any State Party and, by special agreement, on the territory of any other State.

PART II
JURISDICTION, ADMISSIBILITY AND APPLICABLE LAW.

Article 5.
Crimes within the jurisdiction of the Court.

1. The jurisdiction of the Court shall be limited to the most serious crimes of concern to the international community as a whole. The Court has jurisdiction in accordance with this Statute with respect to the following crimes—

(a) the crime of genocide;

(b) crimes against humanity;

(d) the crime of aggression.

2. The Court shall exercise jurisdiction over the crime of aggression once a provision is adopted in accordance with articles 121 and 123 defining the crime and setting out the conditions under which the Court shall exercise jurisdiction with respect to this crime. Such a provision shall be consistent with the relevant provisions of the Charter of the United Nations.

Article 6.
Genocide.

For the purpose of this Statute, “genocide” means any of the following acts committed with intent to destroy, in whole or in part, a national, ethnical, racial or religious group, as such—

(a) killing members of the group;

(b) causing serious bodily or mental harm to members of the group;

(c) deliberately inflicting on the group conditions of life calculated to bring about its physical destruction in whole or in part;

(d) imposing measures intended to prevent births within the group;

(e) forcibly transferring children of the group to another group.

Article 7.
Crimes against humanity.

1. For the purpose of this Statute, “crime against humanity” means any of the following acts when committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack—

(a) murder;

(b) extermination;

(d) deportation or forcible transfer of population;

(e) imprisonment or other severe deprivation of physical liberty in violation of fundamental rules of international law;

(f) torture;

(g) rape, sexual slavery, enforced prostitution, forced pregnancy, enforced sterilisation, or any other form of sexual violence of comparable gravity;

(h) persecution against any identifiable group or collectivity on political, racial, national, ethnic, cultural, religious, gender as defined in paragraph 3, or other grounds that are universally recognised as impermissible under international law, in connection with any act referred to in this paragraph or any crime within the jurisdiction of the Court;

(i) enforced disappearance of persons;

(j) the crime of apartheid;

(k) other inhumane acts of a similar character intentionally causing great suffering, or serious injury to body or to mental or physical health.

2. For the purpose of paragraph 1—

(a) “attack directed against any civilian population” means a course of conduct involving the multiple commission of acts referred to in paragraph 1 against any civilian population, pursuant to or in furtherance of a State or organisational policy to commit such attack;

(b) “extermination” includes the intentional infliction of conditions of life, inter alia the deprivation of access to food and medicine, calculated to bring about the destruction of part of a population;

(c) “enslavement” means the exercise of any or all of the powers attaching to the right of ownership over a person and includes the exercise of such power in the course of trafficking in persons, in particular women and children;

(d) “deportation or forcible transfer of population” means forced displacement of the persons concerned by expulsion or other coercive acts from the area in which they are lawfully present, without grounds permitted under international law;

(e) “torture” means the intentional infliction of severe pain or suffering, whether physical or mental, upon a person in the custody or under the control of the accused; except that torture shall not include pain or suffering arising only from, inherent in or incidental to, lawful sanctions;

(f) “forced pregnancy” means the unlawful confinement of a woman forcibly made pregnant, with the intent of affecting the ethnic composition of any population or carrying out other grave violations of international law. This definition shall not in any way be interpreted as affecting national laws relating to pregnancy;

(g) “persecution” means the intentional and severe deprivation of fundamental rights contrary to international law by reason of the identity of the group or collectivity;

(h) “the crime of apartheid” means inhumane acts of a character similar to those referred to in paragraph 1, committed in the context of an institutionalised regime of systematic oppression and domination by one racial group over any other racial group or groups and committed with the intention of maintaining that regime;

(i) “enforced disappearance of persons” means the arrest, detention or abduction of persons by, or with the authorisation, support or acquiescence of, a State or a political organisation, followed by a refusal to acknowledge that deprivation of freedom or to give information on the fate or whereabouts of those persons, with the intention of removing them from the protection of the law for a prolonged period of time.

3. For the purpose of this Statute, it is understood that the term “gender” refers to the two sexes, male and female, within the context of society. The term “gender” does not indicate any meaning different from the above.

Article 8.
War crimes.

1. The Court shall have jurisdiction in respect of war crimes in particular when committed as part of a plan or policy or as part of a large scale commission of such crimes.

2. For the purpose of this Statute, “war crimes” means—

(a) grave breaches of the Geneva Conventions of 12 August 1949, namely, any of the following acts against persons or property protected under the provisions of the relevant Geneva Convention—

(i) wilful killing;

(ii) torture or inhuman treatment, including biological experiments;

(iii) wilfully causing great suffering, or serious injury to body or health;

(iv) extensive destruction and appropriation of property, not justified by military necessity and carried out unlawfully and wantonly;

(v) compelling a prisoner of war or other protected person to serve in the forces of a hostile Power;

(vi) wilfully depriving a prisoner of war or other protected person of the rights of fair and regular trial;

(vii) unlawful deportation or transfer or unlawful confinement;

(viii) taking of hostages;

(b) other serious violations of the laws and customs applicable in international armed conflict, within the established framework of international law, namely, any of the following acts—

(i) intentionally directing attacks against the civilian population as such or against individual civilians not taking direct part in hostilities;

(ii) intentionally directing attacks against civilian objects, that is, objects which are not military objectives;

(iii) intentionally directing attacks against personnel, installations, material, units or vehicles involved in a humanitarian assistance or peacekeeping mission in accordance with the Charter of the United Nations, as long as they are entitled to the protection given to civilians or civilian objects under the international law of armed conflict;

(iv) intentionally launching an attack in the knowledge that such attack will cause incidental loss of life or injury to civilians or damage to civilian objects or widespread, long term and severe damage to the natural environment which would be clearly excessive in relation to the concrete and direct overall military advantage anticipated;

(v) attacking or bombarding, by whatever means, towns, villages, dwellings or buildings which are undefended and which are not military objectives;

(vi) killing or wounding a combatant who, having laid down his arms or having no longer means of defence, has surrendered at discretion;

(vii) making improper use of a flag of truce, of the flag or of the military insignia and uniform of the enemy or of the United Nations, as well as of the distinctive emblems of the Geneva Conventions, resulting in death or serious personal injury;

(viii) the transfer, directly or indirectly, by the Occupying Power of parts of its own civilian population into the territory it occupies, or the deportation or transfer of all or parts of the population of the occupied territory within or outside this territory;

(ix) intentionally directing attacks against buildings dedicated to religion, education, art, science or charitable purposes, historic monuments, hospitals and places where the sick and wounded are collected, provided they are not military objectives;

(x) subjecting persons who are in the power of an adverse party to physical mutilation or to medical or scientific experiments of any kind which are neither justified by the medical, dental or hospital treatment of the person concerned nor carried out in his or her interest, and which cause death to or seriously endanger the health of such person or persons;

(xi) killing or wounding treacherously individuals belonging to the hostile nation or army;

(xii) declaring that no quarter will be given;

(xiii) destroying or seizing the enemy’s property unless such destruction or seizure be imperatively demanded by the necessities of war;

(xiv) declaring abolished, suspended or inadmissible in a court of law the rights and actions of the nationals of the hostile party;

(xv) compelling the nationals of the hostile party to take part in the operations of war directed against their own country, even if they were in the belligerent’s service before the commencement of the war;

(xvi) pillaging a town or place, even when taken by assault;

(xvii) employing poison or poisoned weapons;

(xviii) employing asphyxiating, poisonous or other gases, and all analogous liquids, materials or devices;

(xix) employing bullets which expand or flatten easily in the human body, such as bullets with a hard envelope which does not entirely cover the core or is pierced with incisions;

(xx) employing weapons, projectiles and material and methods of warfare which are of a nature to cause superfluous injury or unnecessary suffering or which are inherently indiscriminate in violation of the international law of armed conflict, provided that such weapons, projectiles and material and methods of warfare are the subject of a comprehensive prohibition and are included in an annex to this Statute, by an amendment in accordance with the relevant provisions set forth in articles 121 and 123;

(xxi) committing outrages upon personal dignity, in particular humiliating and degrading treatment;

(xxii) committing rape, sexual slavery, enforced prostitution, forced pregnancy, as defined in article 7, paragraph 2(f), enforced sterilisation, or any other form of sexual violence also constituting a grave breach of the Geneva Conventions;

(xxiii) utilising the presence of a civilian or other protected person to render certain points, areas or military forces immune from military operations;

(xxiv) intentionally directing attacks against buildings, material, medical units and transport, and personnel using the distinctive emblems of the Geneva Conventions in conformity with international law;

(xxv) intentionally using starvation of civilians as a method of warfare by depriving them of objects indispensable to their survival, including wilfully impeding relief supplies as provided for under the Geneva Conventions;

(xxvi) conscripting or enlisting children under the age of 15 years into the national armed forces or using them to participate actively in hostilities;

(c) in the case of an armed conflict not of an international character, serious violations of article 3 common to the four Geneva Conventions of 12 August 1949, namely, any of the following acts committed against persons taking no active part in the hostilities, including members of armed forces who have laid down their arms and those placed hors de combat by sickness, wounds, detention or any other cause—

(i) violence to life and person, in particular murder of all kinds, mutilation, cruel treatment and torture;

(ii) committing outrages upon personal dignity, in particular humiliating and degrading treatment;

(iii) taking of hostages;

(iv) the passing of sentences and the carrying out of executions without previous judgement pronounced by a regularly constituted court, affording all judicial guarantees which are generally recognised as indispensable;

(d) paragraph 2(c) applies to armed conflicts not of an international character and thus does not apply to situations of internal disturbances and tensions, such as riots, isolated and sporadic acts of violence or other acts of a similar nature;

(e) other serious violations of the laws and customs applicable in armed conflicts not of an international character, within the established framework of international law, namely, any of the following acts—

(i) intentionally directing attacks against the civilian population as such or against individual civilians not taking direct part in hostilities;

(ii) intentionally directing attacks against buildings, material, medical units and transport, and personnel using the distinctive emblems of the Geneva Conventions in conformity with international law;

(iv) intentionally directing attacks against buildings dedicated to religion, education, art, science or charitable purposes, historic monuments, hospitals and places where the sick and wounded are collected, provided they are not military objectives;

(v) pillaging a town or place, even when taken by assault;

(vi) committing rape, sexual slavery, enforced prostitution, forced pregnancy, as defined in article 7, paragraph 2(f), enforced sterilisation, and any other form of sexual violence also constituting a serious violation of article 3 common to the four Geneva Conventions;

(vii) conscripting or enlisting children under the age of 15 years into armed forces or groups or using them to participate actively in hostilities;

(viii) ordering the displacement of the civilian population for reasons related to the conflict, unless the security of the civilians involved or imperative military reasons so demand;

(ix) killing or wounding treacherously a combatant adversary;

(x) declaring that no quarter will be given;

(xi) subjecting persons who are in the power of another party to the conflict to physical mutilation or to medical or scientific experiments of any kind which are neither justified by the medical, dental or hospital treatment of the person concerned nor carried out in his or her interest, and which cause death to or seriously endanger the health of such person or persons;

(xii) destroying or seizing the property of an adversary unless such destruction or seizure be imperatively demanded by the necessities of the conflict;

(f) paragraph 2(e) applies to armed conflicts not of an international character and thus does not apply to situations of internal disturbances and tensions, such as riots, isolated and sporadic acts of violence or other acts of a similar nature. It applies to armed conflicts that take place in the territory of a State when there is protracted armed conflict between governmental authorities and organised armed groups or between such groups.

3. Nothing in paragraph 2(c) and (e) shall affect the responsibility of a Government to maintain or reestablish law and order in the State or to defend the unity and territorial integrity of the State, by all legitimate means.

Article 9.
Elements of Crimes.

1. Elements of Crimes shall assist the Court in the interpretation and application of articles 6, 7 and 8. They shall be adopted by a two-thirds majority of the members of the Assembly of States Parties.

2. Amendments to the Elements of Crimes may be proposed by—

(a) any State Party;

(b) the judges acting by an absolute majority;

Such amendments shall be adopted by a two-thirds majority of the members of the Assembly of States Parties.

3. The Elements of Crimes and amendments thereto shall be consistent with this Statute.

Article 10.

Nothing in this Part shall be interpreted as limiting or prejudicing in any way existing or developing rules of international law for purposes other than this Statute.

Article 11.
Jurisdiction ratione temporis.

1. The Court has jurisdiction only with respect to crimes committed after the entry into force of this Statute.

2. If a State becomes a Party to this Statute after its entry into force, the Court may exercise its jurisdiction only with respect to crimes committed after the entry into force of this Statute for that State, unless that State has made a declaration under article 12, paragraph 3.

Article 12.
Preconditions to the exercise of jurisdiction.

1. A State which becomes a Party to this Statute thereby accepts the jurisdiction of the Court with respect to the crimes referred to in article 5.

2. In the case of article 13, paragraph (a) or (c), the Court may exercise its jurisdiction if one or more of the following States are Parties to this Statute or have accepted the jurisdiction of the Court in accordance with paragraph 3—

(a) the State on the territory of which the conduct in question occurred or, if the crime was committed on board a vessel or aircraft, the State of registration of that vessel or aircraft;

(b) the State of which the person accused of the crime is a national.

3. If the acceptance of a State which is not a Party to this Statute is required under paragraph 2, that State may, by declaration lodged with the Registrar, accept the exercise of jurisdiction by the Court with respect to the crime in question. The accepting State shall cooperate with the Court without any delay or exception in accordance with Part IX.

Article 13.
Exercise of jurisdiction.

The Court may exercise its jurisdiction with respect to a crime referred to in article 5 in accordance with the provisions of this Statute if—

(a) a situation in which one or more of such crimes appears to have been committed is referred to the Prosecutor by a State Party in accordance with article 14;

(b) a situation in which one or more of such crimes appears to have been committed is referred to the Prosecutor by the Security Council acting under Chapter VII of the Charter of the United Nations; or

Article 14.
Referral of a situation by a State Party.

1. A State Party may refer to the Prosecutor a situation in which one or more crimes within the jurisdiction of the Court appear to have been committed requesting the Prosecutor to investigate the situation for the purpose of determining whether one or more specific persons should be charged with the commission of such crimes.

2. As far as possible, a referral shall specify the relevant circumstances and be accompanied by such supporting documentation as is available to the State referring the situation.

Article 15.
Prosecutor.

1. The Prosecutor may initiate investigations proprio motu on the basis of information on crimes within the jurisdiction of the Court.

2. The Prosecutor shall analyse the seriousness of the information received. For this purpose, he or she may seek additional information from States, organs of the United Nations, intergovernmental or nongovernmental organisations, or other reliable sources that he or she deems appropriate, and may receive written or oral testimony at the seat of the Court.

3. If the Prosecutor concludes that there is a reasonable basis to proceed with an investigation, he or she shall submit to the Pre-Trial Chamber a request for authorisation of an investigation, together with any supporting material collected. Victims may make representations to the Pre-Trial Chamber, in accordance with the Rules of Procedure and Evidence.

4. If the Pre-Trial Chamber, upon examination of the request and the supporting material, considers that there is a reasonable basis to proceed with an investigation, and that the case appears to fall within the jurisdiction of the Court, it shall authorise the commencement of the investigation, without prejudice to subsequent determinations by the Court with regard to the jurisdiction and admissibility of a case.

5. The refusal of the Pre-Trial Chamber to authorise the investigation shall not preclude the presentation of a subsequent request by the Prosecutor based on new facts or evidence regarding the same situation.

6. If, after the preliminary examination referred to in paragraphs 1 and 2, the Prosecutor concludes that the information provided does not constitute a reasonable basis for an investigation, he or she shall inform those who provided the information. This shall not preclude the Prosecutor from considering further information submitted to him or her regarding the same situation in the light of new facts or evidence.

Article 16.
Deferral of investigation or prosecution.

No investigation or prosecution may be commenced or proceeded with under this Statute for a period of 12 months after the Security Council, in a resolution adopted under Chapter VII of the Charter of the United Nations, has requested the Court to that effect; that request may be renewed by the Council under the same conditions.

Article 17.
Issues of admissibility.

1. Having regard to paragraph 10 of the Preamble and article 1, the Court shall determine that a case is inadmissible where—

(a) the case is being investigated or prosecuted by a State which has jurisdiction over it, unless the State is unwilling or unable genuinely to carry out the investigation or prosecution;

(b) the case has been investigated by a State which has jurisdiction over it and the State has decided not to prosecute the person concerned, unless the decision resulted from the unwillingness or inability of the State genuinely to prosecute;

(c) the person concerned has already been tried for conduct which is the subject of the complaint, and a trial by the Court is not permitted under article 20, paragraph 3;

(d) the case is not of sufficient gravity to justify further action by the Court.

2. In order to determine unwillingness in a particular case, the Court shall consider, having regard to the principles of due process recognised by international law, whether one or more of the following exist, as applicable—

(a) the proceedings were or are being undertaken or the national decision was made for the purpose of shielding the person concerned from criminal responsibility for crimes within the jurisdiction of the Court referred to in article 5;

(b) there has been an unjustified delay in the proceedings which in the circumstances is inconsistent with an intent to bring the person concerned to justice;

(c) the proceedings were not or are not being conducted independently or impartially, and they were or are being conducted in a manner which, in the circumstances, is inconsistent with an intent to bring the person concerned to justice.

3. In order to determine inability in a particular case, the Court shall consider whether, due to a total or substantial collapse or unavailability of its national judicial system, the State is unable to obtain the accused or the necessary evidence and testimony or otherwise unable to carry out its proceedings.

Article 18.
Preliminary rulings regarding admissibility.

1. When a situation has been referred to the Court pursuant to article 13(a) and the Prosecutor has determined that there would be a reasonable basis to commence an investigation, or the Prosecutor initiates an investigation pursuant to articles 13(c) and 15, the Prosecutor shall notify all States Parties and those States which, taking into account the information available, would normally exercise jurisdiction over the crimes concerned. The Prosecutor may notify such States on a confidential basis and, where the Prosecutor believes it necessary to protect persons, prevent destruction of evidence or prevent the absconding of persons, may limit the scope of the information provided to States.

2. Within one month of receipt of that notification, a State may inform the Court that it is investigating or has investigated its nationals or others within its jurisdiction with respect to criminal acts which may constitute crimes referred to in article 5 and which relate to the information provided in the notification to States. At the request of that State, the Prosecutor shall defer to the State’s investigation of those persons unless the Pre-Trial Chamber, on the application of the Prosecutor, decides to authorise the investigation.

3. The Prosecutor’s deferral to a State’s investigation shall be open to review by the Prosecutor six months after the date of deferral or at any time when there has been a significant change of circumstances based on the State’s unwillingness or inability genuinely to carry out the investigation.

4. The State concerned or the Prosecutor may appeal to the Appeals Chamber against a ruling of the Pre-Trial Chamber, in accordance with article 82. The appeal may be heard on an expedited basis.

5. When the Prosecutor has deferred an investigation in accordance with paragraph 2, the Prosecutor may request that the State concerned periodically inform the Prosecutor of the progress of its investigations and any subsequent prosecutions. States Parties shall respond to such requests without undue delay.

6. Pending a ruling by the Pre-Trial Chamber, or at any time when the Prosecutor has deferred an investigation under this article, the Prosecutor may, on an exceptional basis, seek authority from the Pre-Trial Chamber to pursue necessary investigative steps for the purpose of preserving evidence where there is a unique opportunity to obtain important evidence or there is a significant risk that such evidence may not be subsequently available.

7. A State which has challenged a ruling of the Pre-Trial Chamber under this article may challenge the admissibility of a case under article 19 on the grounds of additional significant facts or significant change of circumstances.

Article 19.
Challenges to the jurisdiction of the Court or the admissibility of a case.

1. The Court shall satisfy itself that it has jurisdiction in any case brought before it. The Court may, on its own motion, determine the admissibility of a case in accordance with article 17.

2. Challenges to the admissibility of a case on the grounds referred to in article 17 or challenges to the jurisdiction of the Court may be made by—

(a) an accused or a person for whom a warrant of arrest or a summons to appear has been issued under article 58;

(b) a State which has jurisdiction over a case, on the ground that it is investigating or prosecuting the case or has investigated or prosecuted; or

3. The Prosecutor may seek a ruling from the Court regarding a question of jurisdiction or admissibility. In proceedings with respect to jurisdiction or admissibility, those who have referred the situation under article 13, as well as victims, may also submit observations to the Court.

4. The admissibility of a case or the jurisdiction of the Court may be challenged only once by any person or State referred to in paragraph 2. The challenge shall take place prior to or at the commencement of the trial. In exceptional circumstances, the Court may grant leave for a challenge to be brought more than once or at a time later than the commencement of the trial. Challenges to the admissibility of a case, at the commencement of a trial, or subsequently with the leave of the Court, may be based only on article 17, paragraph 1(c).

5. A State referred to in paragraph 2(b) and (c) shall make a challenge at the earliest opportunity.

6. Prior to the confirmation of the charges, challenges to the admissibility of a case or challenges to the jurisdiction of the Court shall be referred to the Pre-Trial Chamber. After confirmation of the charges, they shall be referred to the Trial Chamber. Decisions with respect to jurisdiction or admissibility may be appealed to the Appeals Chamber in accordance with article 82.

7. If a challenge is made by a State referred to in paragraph 2(b) or (c), the Prosecutor shall suspend the investigation until such time as the Court makes a determination in accordance with article 17.

8. Pending a ruling by the Court, the Prosecutor may seek authority from the Court—

(a) to pursue necessary investigative steps of the kind referred to in article 18, paragraph 6;

(b) to take a statement or testimony from a witness or complete the collection and examination of evidence which had begun prior to the making of the challenge; and

(c) in cooperation with the relevant States, to prevent the absconding of persons in respect of whom the Prosecutor has already requested a warrant of arrest under article 58.

9. The making of a challenge shall not affect the validity of any act performed by the Prosecutor or any order or warrant issued by the Court prior to the making of the challenge.

10. If the Court has decided that a case is inadmissible under article 17, the Prosecutor may submit a request for a review of the decision when he or she is fully satisfied that new facts have arisen which negate the basis on which the case had previously been found inadmissible under article 17.

11. If the Prosecutor, having regard to the matters referred to in article 17, defers an investigation, the Prosecutor may request that the relevant State make available to the Prosecutor information on the proceedings. That information shall, at the request of the State concerned, be confidential. If the Prosecutor thereafter decides to proceed with an investigation, he or she shall notify the State to which deferral of the proceedings has taken place.

Article 20.
Ne bis in idem.

1. Except as provided in this Statute, no person shall be tried before the Court with respect to conduct which formed the basis of crimes for which the person has been convicted or acquitted by the Court.

2. No person shall be tried by another court for a crime referred to in article 5 for which that person has already been convicted or acquitted by the Court.

3. No person who has been tried by another court for conduct also proscribed under article 6, 7 or 8 shall be tried by the Court with respect to the same conduct unless the proceedings in the other court—

(a) were for the purpose of shielding the person concerned from criminal responsibility for crimes within the jurisdiction of the Court; or

(b) otherwise were not conducted independently or impartially in accordance with the norms of due process recognised by international law and were conducted in a manner which, in the circumstances, was inconsistent with an intent to bring the person concerned to justice.

Article 21.
Applicable law.

1. The Court shall apply—

(a) in the first place, this Statute, Elements of Crimes and its Rules of Procedure and Evidence;

(b) in the second place, where appropriate, applicable treaties and the principles and rules of international law, including the established principles of the international law of armed conflict;

(c) failing that, general principles of law derived by the Court from national laws of legal systems of the world including, as appropriate, the national laws of States that would normally exercise jurisdiction over the crime, provided that those principles are not inconsistent with this Statute and with international law and internationally recognised norms and standards.

2. The Court may apply principles and rules of law as interpreted in its previous decisions.

3. The application and interpretation of law pursuant to this article must be consistent with internationally recognised human rights, and be without any adverse distinction founded on grounds such as gender as defined in article 7, paragraph 3, age, race, colour, language, religion or belief, political or other opinion, national, ethnic or social origin, wealth, birth or other status.

PART III
GENERAL PRINCIPLES OF CRIMINAL LAW.

Article 22.
Nullum crimen sine lege.

1. A person shall not be criminally responsible under this Statute unless the conduct in question constitutes, at the time it takes place, a crime within the jurisdiction of the Court.

2. The definition of a crime shall be strictly construed and shall not be extended by analogy. In case of ambiguity, the definition shall be interpreted in favour of the person being investigated, prosecuted or convicted.

3. This article shall not affect the characterisation of any conduct as criminal under international law independently of this Statute.

Article 23.
Nulla poena sine lege.

A person convicted by the Court may be punished only in accordance with this Statute.

Article 24.
Nonretroactivity ratione personae.

1. No person shall be criminally responsible under this Statute for conduct prior to the entry into force of the Statute.

2. In the event of a change in the law applicable to a given case prior to a final judgement, the law more favourable to the person being investigated, prosecuted or convicted shall apply.

Article 25.
Individual criminal responsibility.

1. The Court shall have jurisdiction over natural persons pursuant to this Statute.

2. A person who commits a crime within the jurisdiction of the Court shall be individually responsible and liable for punishment in accordance with this Statute.

3. In accordance with this Statute, a person shall be criminally responsible and liable for punishment for a crime within the jurisdiction of the Court if that person—

(a) commits such a crime, whether as an individual, jointly with another or through another person, regardless of whether that other person is criminally responsible;

(b) orders, solicits or induces the commission of such a crime which in fact occurs or is attempted;

(c) for the purpose of facilitating the commission of such a crime, aids, abets or otherwise assists in its commission or its attempted commission, including providing the means for its commission;

(d) in any other way contributes to the commission or attempted commission of such a crime by a group of persons acting with a common purpose. Such contribution shall be intentional and shall either—

(i) be made with the aim of furthering the criminal activity or criminal purpose of the group, where such activity or purpose involves the commission of a crime within the jurisdiction of the Court; or

(ii) be made in the knowledge of the intention of the group to commit the crime;

(e) in respect of the crime of genocide, directly and publicly incites others to commit genocide;

(f) attempts to commit such a crime by taking action that commences its execution by means of a substantial step, but the crime does not occur because of circumstances independent of the person’s intentions. However, a person who abandons the effort to commit the crime or otherwise prevents the completion of the crime shall not be liable for punishment under this Statute for the attempt to commit that crime if that person completely and voluntarily gave up the criminal purpose.

4. No provision in this Statute relating to individual criminal responsibility shall affect the responsibility of States under international law.

Article 26.
Exclusion of jurisdiction over persons under 18.

The Court shall have no jurisdiction over any person who was under the age of 18 at the time of the alleged commission of a crime.

Article 27.
Irrelevance of official capacity.

1. This Statute shall apply equally to all persons without any distinction based on official capacity. In particular, official capacity as a Head of State or Government, a member of a Government or parliament, an elected representative or a government official shall in no case exempt a person from criminal responsibility under this Statute, nor shall it, in and of itself, constitute a ground for reduction of sentence.

2. Immunities or special procedural rules which may attach to the official capacity of a person, whether under national or international law, shall not bar the Court from exercising its jurisdiction over such a person.

Article 28.
Responsibility of commanders and other superiors.

In addition to other grounds of criminal responsibility under this Statute for crimes within the jurisdiction of the Court—

(a) a military commander or person effectively acting as a military commander shall be criminally responsible for crimes within the jurisdiction of the Court committed by forces under his or her effective command and control, or effective authority and control as the case may be, as a result of his or her failure to exercise control properly over such forces, where—

(i) that military commander or person either knew or, owing to the circumstances at the time, should have known that the forces were committing or about to commit such crimes; and

(ii) that military commander or person failed to take all necessary and reasonable measures within his or her power to prevent or repress their commission or to submit the matter to the competent authorities for investigation and prosecution;

(b) with respect to superior and subordinate relationships not described in paragraph (a), a superior shall be criminally responsible for crimes within the jurisdiction of the Court committed by subordinates under his or her effective authority and control, as a result of his or her failure to exercise control properly over such subordinates, where—

(i) the superior either knew, or consciously disregarded information which clearly indicated, that the subordinates were committing or about to commit such crimes;

(ii) the crimes concerned activities that were within the effective responsibility and control of the superior; and

(iii) the superior failed to take all necessary and reasonable measures within his or her power to prevent or repress their commission or to submit the matter to the competent authorities for investigation and prosecution.

Article 29.
Nonapplicability of statute of limitations.

The crimes within the jurisdiction of the Court shall not be subject to any statute of limitations.

Article 30.
Mental element.

1. Unless otherwise provided, a person shall be criminally responsible and liable for punishment for a crime within the jurisdiction of the Court only if the material elements are committed with intent and knowledge.

2. For the purposes of this article, a person has intent where—

(a) in relation to conduct, that person means to engage in the conduct;

(b) in relation to a consequence, that person means to cause that consequence or is aware that it will occur in the ordinary course of events.

3. For the purposes of this article, “knowledge” means awareness that a circumstance exists or a consequence will occur in the ordinary course of events. “Know” and “knowingly” shall be construed accordingly.

Article 31.
Grounds for excluding criminal responsibility.

1. In addition to other grounds for excluding criminal responsibility provided for in this Statute, a person shall not be criminally responsible if, at the time of that person’s conduct—

(a) the person suffers from a mental disease or defect that destroys that person’s capacity to appreciate the unlawfulness or nature of his or her conduct, or capacity to control his or her conduct to conform to the requirements of law;

(b) the person is in a state of intoxication that destroys that person’s capacity to appreciate the unlawfulness or nature of his or her conduct, or capacity to control his or her conduct to conform to the requirements of law, unless the person has become voluntarily intoxicated under such circumstances that the person knew, or disregarded the risk, that, as a result of the intoxication, he or she was likely to engage in conduct constituting a crime within the jurisdiction of the Court;

(c) the person acts reasonably to defend himself or herself or another person or, in the case of war crimes, property which is essential for the survival of the person or another person or property which is essential for accomplishing a military mission, against an imminent and unlawful use of force in a manner proportionate to the degree of danger to the person or the other person or property protected. The fact that the person was involved in a defensive operation conducted by forces shall not in itself constitute a ground for excluding criminal responsibility under this subparagraph;

(d) the conduct which is alleged to constitute a crime within the jurisdiction of the Court has been caused by duress resulting from a threat of imminent death or of continuing or imminent serious bodily harm against that person or another person, and the person acts necessarily and reasonably to avoid this threat, provided that the person does not intend to cause a greater harm than the one sought to be avoided. Such a threat may either be—

(i) made by other persons; or

(ii) constituted by other circumstances beyond that person’s control.

2. The Court shall determine the applicability of the grounds for excluding criminal responsibility provided for in this Statute to the case before it.

3. At trial, the Court may consider a ground for excluding criminal responsibility other than those referred to in paragraph 1 where such a ground is derived from applicable law as set forth in article 21. The procedures relating to the consideration of such a ground shall be provided for in the Rules of Procedure and Evidence.

Article 32.
Mistake of fact or mistake of law.

1. A mistake of fact shall be a ground for excluding criminal responsibility only if it negates the mental element required by the crime.

2. A mistake of law as to whether a particular type of conduct is a crime within the jurisdiction of the Court shall not be a ground for excluding criminal responsibility. A mistake of law may, however, be a ground for excluding criminal responsibility if it negates the mental element required by such a crime, or as provided for in article 33.

Article 33.
Superior orders and prescription of law.

1. The fact that a crime within the jurisdiction of the Court has been committed by a person pursuant to an order of a Government or of a superior, whether military or civilian, shall not relieve that person of criminal responsibility unless—

(a) the person was under a legal obligation to obey orders of the Government or the superior in question;

(b) the person did not know that the order was unlawful; and

2. For the purposes of this article, orders to commit genocide or crimes against humanity are manifestly unlawful.

PART IV
COMPOSITION AND ADMINISTRATION OF THE COURT.

Article 34.
Organs of the Court.

The Court shall be composed of the following organs—

(a) the Presidency;

(b) an Appeals Division, a Trial Division and a Pre-Trial Division;

(d) the Registry.

Article 35.
Service of judges.

1. All judges shall be elected as full time members of the Court and shall be available to serve on that basis from the commencement of their terms of office.

2. The judges composing the Presidency shall serve on a full time basis as soon as they are elected.

3. The Presidency may, on the basis of the workload of the Court and in consultation with its members, decide from time to time to what extent the remaining judges shall be required to serve on a full time basis. Any such arrangement shall be without prejudice to the provisions of article 40.

4. The financial arrangements for judges not required to serve on a full time basis shall be made in accordance with article 49.

Article 36.
Qualifications, nomination and election of judges.

1. Subject to the provisions of paragraph 2, there shall be 18 judges of the Court.

2.—

(a) The Presidency, acting on behalf of the Court, may propose an increase in the number of judges specified in paragraph 1, indicating the reasons why this is considered necessary and appropriate. The Registrar shall promptly circulate any such proposal to all States Parties.

(b) Any such proposal shall then be considered at a meeting of the Assembly of States Parties to be convened in accordance with article 112. The proposal shall be considered adopted if approved at the meeting by a vote of two-thirds of the members of the Assembly of States Parties and shall enter into force at such time as decided by the Assembly of States Parties.

(c)—

(i) Once a proposal for an increase in the number of judges has been adopted under subparagraph (b), the election of the additional judges shall take place at the next session of the Assembly of States Parties in accordance with paragraphs 3 to 8, and article 37, paragraph 2.

(ii) Once a proposal for an increase in the number of judges has been adopted and brought into effect under subparagraphs (b) and (c)(i), it shall be open to the Presidency at any time thereafter, if the workload of the Court justifies it, to propose a reduction in the number of judges, provided that the number of judges shall not be reduced below that specified in paragraph 1. The proposal shall be dealt with in accordance with the procedure laid down in subparagraphs (a) and (b). In the event that the proposal is adopted, the number of judges shall be progressively decreased as the terms of office of serving judges expire, until the necessary number has been reached.

3.—

(a) The judges shall be chosen from among persons of high moral character, impartiality and integrity who possess the qualifications required in their respective States for appointment to the highest judicial offices.

(b) Every candidate for election to the Court shall—

(i) have established competence in criminal law and procedure, and the necessary relevant experience, whether as judge, prosecutor, advocate or in other similar capacity, in criminal proceedings; or

(ii) have established competence in relevant areas of international law such as international humanitarian law and the law of human rights, and extensive experience in a professional legal capacity which is of relevance to the judicial work of the Court.

(c) Every candidate for election to the Court shall have an excellent knowledge of and be fluent in at least one of the working languages of the Court.

4.—

(a) Nominations of candidates for election to the Court may be made by any State Party to this Statute, and shall be made either—

(i) by the procedure for the nomination of candidates for appointment to the highest judicial offices in the State in question; or

(ii) by the procedure provided for the nomination of candidates for the International Court of Justice in the Statute of that Court.

Nominations shall be accompanied by a statement in the necessary detail specifying how the candidate fulfils the requirements of paragraph 3.

(b) Each State Party may put forward one candidate for any given election who need not necessarily be a national of that State Party but shall in any case be a national of a State Party.

(c) The Assembly of States Parties may decide to establish, if appropriate, an Advisory Committee on nominations. In that event, the Committee’s composition and mandate shall be established by the Assembly of States Parties.

5. For the purposes of the election, there shall be two lists of candidates—

List A containing the names of candidates with the qualifications specified in paragraph 3(b)(i); and

List B containing the names of candidates with the qualifications specified in paragraph 3(b)(ii).

A candidate with sufficient qualifications for both lists may choose on which list to appear. At the first election to the Court, at least nine judges shall be elected from list A and at least five judges from list B. Subsequent elections shall be so organised as to maintain the equivalent proportion on the Court of judges qualified on the two lists.

6.—

(a) The judges shall be elected by secret ballot at a meeting of the Assembly of States Parties convened for that purpose under article 112. Subject to paragraph 7, the persons elected to the Court shall be the 18 candidates who obtain the highest number of votes and a two-thirds majority of the States Parties present and voting.

(b) In the event that a sufficient number of judges is not elected on the first ballot, successive ballots shall be held in accordance with the procedures laid down in subparagraph (a) until the remaining places have been filled.

7. No two judges may be nationals of the same State. A person who, for the purposes of membership of the Court, could be regarded as a national of more than one State shall be deemed to be a national of the State in which that person ordinarily exercises civil and political rights.

8.—

(a) The States Parties shall, in the selection of judges, take into account the need, within the membership of the Court, for—

(i) the representation of the principal legal systems of the world;

(ii) equitable geographical representation; and

(iii) a fair representation of female and male judges;

(b) States Parties shall also take into account the need to include judges with legal expertise on specific issues, including, but not limited to, violence against women or children.

9.—

(a) Subject to subparagraph (b), judges shall hold office for a term of nine years and, subject to subparagraph (c) and to article 37, paragraph 2, shall not be eligible for reelection.

(b) At the first election, one-third of the judges elected shall be selected by lot to serve for a term of three years; one-third of the judges elected shall be selected by lot to serve for a term of six years; and the remainder shall serve for a term of nine years.

(c) A judge who is selected to serve for a term of three years under subparagraph (b) shall be eligible for reelection for a full term.

10. Notwithstanding paragraph 9, a judge assigned to a Trial or Appeals Chamber in accordance with article 39 shall continue in office to complete any trial or appeal the hearing of which has already commenced before that Chamber.

Article 37.
Judicial vacancies.

1. In the event of a vacancy, an election shall be held in accordance with article 36 to fill the vacancy.

2. A judge elected to fill a vacancy shall serve for the remainder of the predecessor’s term and, if that period is three years or less, shall be eligible for reelection for a full term under article 36.

Article 38.
The Presidency.

1. The President and the First and Second Vice Presidents shall be elected by an absolute majority of the judges. They shall each serve for a term of three years or until the end of their respective terms of office as judges, whichever expires earlier. They shall be eligible for reelection once.

2. The First Vice President shall act in place of the President in the event that the President is unavailable or disqualified. The Second Vice President shall act in place of the President in the event that both the President and the First Vice President are unavailable or disqualified.

3. The President, together with the First and Second Vice Presidents, shall constitute the Presidency, which shall be responsible for—

(a) the proper administration of the Court, with the exception of the Office of the Prosecutor; and

(b) the other functions conferred upon it in accordance with this Statute.

4. In discharging its responsibility under paragraph 3(a), the Presidency shall coordinate with and seek the concurrence of the Prosecutor on all matters of mutual concern.

Article 39.
Chambers.

1. As soon as possible after the election of the judges, the Court shall organise itself into the divisions specified in article 34, paragraph (b). The Appeals Division shall be composed of the President and four other judges, the Trial Division of not less than six judges and the Pre-Trial Division of not less than six judges. The assignment of judges to divisions shall be based on the nature of the functions to be performed by each division and the qualifications and experience of the judges elected to the Court, in such a way that each division shall contain an appropriate combination of expertise in criminal law and procedure and in international law. The Trial and Pre-Trial Divisions shall be composed predominantly of judges with criminal trial experience.

2.—

(a) The judicial functions of the Court shall be carried out in each division by Chambers.

(b)—

(i) The Appeals Chamber shall be composed of all the judges of the Appeals Division.

(ii) The functions of the Trial Chamber shall be carried out by three judges of the Trial Division.

(iii) The functions of the Pre-Trial Chamber shall be carried out either by three judges of the Pre-Trial Division or by a single judge of that division in accordance with this Statute and the Rules of Procedure and Evidence.

(c) Nothing in this paragraph shall preclude the simultaneous constitution of more than one Trial Chamber or Pre-Trial Chamber when the efficient management of the Court’s workload so requires.

3.—

(a) Judges assigned to the Trial and Pre-Trial Divisions shall serve in those divisions for a period of three years, and thereafter until the completion of any case the hearing of which has already commenced in the division concerned.

(b) Judges assigned to the Appeals Division shall serve in that division for their entire term of office.

4. Judges assigned to the Appeals Division shall serve only in that division. Nothing in this article shall, however, preclude the temporary attachment of judges from the Trial Division to the Pre-Trial Division or vice versa, if the Presidency considers that the efficient management of the Court’s workload so requires, provided that under no circumstances shall a judge who has participated in the pre-trial phase of a case be eligible to sit on the Trial Chamber hearing that case.

Article 40
Independence of the judges

1. The judges shall be independent in the performance of their functions.

2. Judges shall not engage in any activity which is likely to interfere with their judicial functions or to affect confidence in their independence.

3. Judges required to serve on a full time basis at the seat of the Court shall not engage in any other occupation of a professional nature.

4. Any question regarding the application of paragraphs 2 and 3 shall be decided by an absolute majority of the judges. Where any such question concerns an individual judge, that judge shall not take part in the decision.

Article 41.
Excusing and disqualification of judges.

1. The Presidency may, at the request of a judge, excuse that judge from the exercise of a function under this Statute, in accordance with the Rules of Procedure and Evidence.

2.—

(a) A judge shall not participate in any case in which his or her impartiality might reasonably be doubted on any ground. A judge shall be disqualified from a case in accordance with this paragraph if, inter alia, that judge has previously been involved in any capacity in that case before the Court or in a related criminal case at the national level involving the person being investigated or prosecuted. A judge shall also be disqualified on such other grounds as may be provided for in the Rules of Procedure and Evidence.

(b) The Prosecutor or the person being investigated or prosecuted may request the disqualification of a judge under this paragraph.

(c) Any question as to the disqualification of a judge shall be decided by an absolute majority of the judges. The challenged judge shall be entitled to present his or her comments on the matter, but shall not take part in the decision.

Article 42.
The Office of the Prosecutor.

1. The Office of the Prosecutor shall act independently as a separate organ of the Court. It shall be responsible for receiving referrals and any substantiated information on crimes within the jurisdiction of the Court, for examining them and for conducting investigations and prosecutions before the Court. A member of the Office shall not seek or act on instructions from any external source.

2. The Office shall be headed by the Prosecutor. The Prosecutor shall have full authority over the management and administration of the Office, including the staff, facilities and other resources thereof. The Prosecutor shall be assisted by one or more Deputy Prosecutors, who shall be entitled to carry out any of the acts required of the Prosecutor under this Statute. The Prosecutor and the Deputy Prosecutors shall be of different nationalities. They shall serve on a full time basis.

3. The Prosecutor and the Deputy Prosecutors shall be persons of high moral character, be highly competent in and have extensive practical experience in the prosecution or trial of criminal cases. They shall have an excellent knowledge of and be fluent in at least one of the working languages of the Court.

4. The Prosecutor shall be elected by secret ballot by an absolute majority of the members of the Assembly of States Parties. The Deputy Prosecutors shall be elected in the same way from a list of candidates provided by the Prosecutor. The Prosecutor shall nominate three candidates for each position of Deputy Prosecutor to be filled. Unless a shorter term is decided upon at the time of their election, the Prosecutor and the Deputy Prosecutors shall hold office for a term of nine years and shall not be eligible for reelection.

5. Neither the Prosecutor nor a Deputy Prosecutor shall engage in any activity which is likely to interfere with his or her prosecutorial functions or to affect confidence in his or her independence. They shall not engage in any other occupation of a professional nature.

6. The Presidency may excuse the Prosecutor or a Deputy Prosecutor, at his or her request, from acting in a particular case.

7. Neither the Prosecutor nor a Deputy Prosecutor shall participate in any matter in which their impartiality might reasonably be doubted on any ground. They shall be disqualified from a case in accordance with this paragraph if, inter alia, they have previously been involved in any capacity in that case before the Court or in a related criminal case at the national level involving the person being investigated or prosecuted.

8. Any question as to the disqualification of the Prosecutor or a Deputy Prosecutor shall be decided by the Appeals Chamber.

(a) The person being investigated or prosecuted may at any time request the disqualification of the Prosecutor or a Deputy Prosecutor on the grounds set out in this article.

(b) The Prosecutor or the Deputy Prosecutor, as appropriate, shall be entitled to present his or her comments on the matter.

9. The Prosecutor shall appoint advisers with legal expertise on specific issues, including, but not limited to, sexual and gender violence and violence against children.

Article 43.
The Registry.

1. The Registry shall be responsible for the nonjudicial aspects of the administration and servicing of the Court, without prejudice to the functions and powers of the Prosecutor in accordance with article 42.

2. The Registry shall be headed by the Registrar, who shall be the principal administrative officer of the Court. The Registrar shall exercise his or her functions under the authority of the President of the Court.

3. The Registrar and the Deputy Registrar shall be persons of high moral character, be highly competent and have an excellent knowledge of and be fluent in at least one of the working languages of the Court.

4. The judges shall elect the Registrar by an absolute majority by secret ballot, taking into account any recommendation by the Assembly of States Parties. If the need arises and upon the recommendation of the Registrar, the judges shall elect, in the same manner, a Deputy Registrar.

5. The Registrar shall hold office for a term of five years, shall be eligible for reelection once and shall serve on a full time basis. The Deputy Registrar shall hold office for a term of five years or such shorter term as may be decided upon by an absolute majority of the judges, and may be elected on the basis that the Deputy Registrar shall be called upon to serve as required.

6. The Registrar shall set up a Victims and Witnesses Unit within the Registry. This Unit shall provide, in consultation with the Office of the Prosecutor, protective measures and security arrangements, counselling and other appropriate assistance for witnesses, victims who appear before the Court, and others who are at risk on account of testimony given by such witnesses. The Unit shall include staff with expertise in trauma, including trauma related to crimes of sexual violence.

Article 44.
Staff.

1. The Prosecutor and the Registrar shall appoint such qualified staff as may be required to their respective offices. In the case of the Prosecutor, this shall include the appointment of investigators.

2. In the employment of staff, the Prosecutor and the Registrar shall ensure the highest standards of efficiency, competency and integrity, and shall have regard, mutatis mutandis, to the criteria set forth in article 36, paragraph 8.

3. The Registrar, with the agreement of the Presidency and the Prosecutor, shall propose Staff Regulations which include the terms and conditions upon which the staff of the Court shall be appointed, remunerated and dismissed. The Staff Regulations shall be approved by the Assembly of States Parties.

4. The Court may, in exceptional circumstances, employ the expertise of gratis personnel offered by States Parties, intergovernmental organisations or nongovernmental organisations to assist with the work of any of the organs of the Court. The Prosecutor may accept any such offer on behalf of the Office of the Prosecutor. Such gratis personnel shall be employed in accordance with guidelines to be established by the Assembly of States Parties.

Article 45.
Solemn undertaking.

Before taking up their respective duties under this Statute, the judges, the Prosecutor, the Deputy Prosecutors, the Registrar and the Deputy Registrar shall each make a solemn undertaking in open court to exercise his or her respective functions impartially and conscientiously.

Article 46.
Removal from office.

1. A judge, the Prosecutor, a Deputy Prosecutor, the Registrar or the Deputy Registrar shall be removed from office if a decision to this effect is made in accordance with paragraph 2, in cases where that person—

(a) is found to have committed serious misconduct or a serious breach of his or her duties under this Statute, as provided for in the Rules of Procedure and Evidence; or

(b) is unable to exercise the functions required by this Statute.

2. A decision as to the removal from office of a judge, the Prosecutor or a Deputy Prosecutor under paragraph 1 shall be made by the Assembly of States Parties, by secret ballot—

(a) in the case of a judge, by a two-thirds majority of the States Parties upon a recommendation adopted by a two-thirds majority of the other judges;

(b) in the case of the Prosecutor, by an absolute majority of the States Parties;

(c) in the case of a Deputy Prosecutor, by an absolute majority of the States Parties upon the recommendation of the Prosecutor.

3. A decision as to the removal from office of the Registrar or Deputy Registrar shall be made by an absolute majority of the judges.

4. A judge, Prosecutor, Deputy Prosecutor, Registrar or Deputy Registrar whose conduct or ability to exercise the functions of the office as required by this Statute is challenged under this article shall have full opportunity to present and receive evidence and to make submissions in accordance with the Rules of Procedure and Evidence. The person in question shall not otherwise participate in the consideration of the matter.

Article 47.
Disciplinary measures.

A judge, Prosecutor, Deputy Prosecutor, Registrar or Deputy Registrar who has committed misconduct of a less serious nature than that set out in article 46, paragraph 1, shall be subject to disciplinary measures, in accordance with the Rules of Procedure and Evidence.

Article 48.
Privileges and immunities.

1. The Court shall enjoy in the territory of each State Party such privileges and immunities as are necessary for the fulfilment of its purposes.

2. The judges, the Prosecutor, the Deputy Prosecutors and the Registrar shall, when engaged on or with respect to the business of the Court, enjoy the same privileges and immunities as are accorded to heads of diplomatic missions and shall, after the expiry of their terms of office, continue to be accorded immunity from legal process of every kind in respect of words spoken or written and acts performed by them in their official capacity.

3. The Deputy Registrar, the staff of the Office of the Prosecutor and the staff of the Registry shall enjoy the privileges and immunities and facilities necessary for the performance of their functions, in accordance with the agreement on the privileges and immunities of the Court.

4. Counsel, experts, witnesses or any other person required to be present at the seat of the Court shall be accorded such treatment as is necessary for the proper functioning of the Court, in accordance with the agreement on the privileges and immunities of the Court.

5. The privileges and immunities of—

(a) a judge or the Prosecutor may be waived by an absolute majority of the judges;

(b) the Registrar may be waived by the Presidency;

(d) the Deputy Registrar and staff of the Registry may be waived by the Registrar.

Article 49.
Salaries, allowances and expenses.

The judges, the Prosecutor, the Deputy Prosecutors, the Registrar and the Deputy Registrar shall receive such salaries, allowances and expenses as may be decided upon by the Assembly of States Parties. These salaries and allowances shall not be reduced during their terms of office.

Article 50.
Official and working languages.

1. The official languages of the Court shall be Arabic, Chinese, English, French, Russian and Spanish. The judgements of the Court, as well as other decisions resolving fundamental issues before the Court, shall be published in the official languages. The Presidency shall, in accordance with the criteria established by the Rules of Procedure and Evidence, determine which decisions may be considered as resolving fundamental issues for the purposes of this paragraph.

2. The working languages of the Court shall be English and French. The Rules of Procedure and Evidence shall determine the cases in which other official languages may be used as working languages.

3. At the request of any party to a proceeding or a State allowed to intervene in a proceeding, the Court shall authorise a language other than English or French to be used by such a party or State, provided that the Court considers such authorisation to be adequately justified.

Article 51.
Rules of Procedure and Evidence.

1. The Rules of Procedure and Evidence shall enter into force upon adoption by a two-thirds majority of the members of the Assembly of States Parties.

2. Amendments to the Rules of Procedure and Evidence may be proposed by—

(a) any State Party;

(b) the judges acting by an absolute majority; or

Such amendments shall enter into force upon adoption by a two-thirds majority of the members of the Assembly of States Parties.

3. After the adoption of the Rules of Procedure and Evidence, in urgent cases where the Rules do not provide for a specific situation before the Court, the judges may, by a two-thirds majority, draw up provisional Rules to be applied until adopted, amended or rejected at the next ordinary or special session of the Assembly of States Parties.

4. The Rules of Procedure and Evidence, amendments thereto and any provisional Rule shall be consistent with this Statute. Amendments to the Rules of Procedure and Evidence as well as provisional Rules shall not be applied retroactively to the detriment of the person who is being investigated or prosecuted or who has been convicted.

5. In the event of conflict between the Statute and the Rules of Procedure and Evidence, the Statute shall prevail.

Article 52.
Regulations of the Court.

1. The judges shall, in accordance with this Statute and the Rules of Procedure and Evidence, adopt, by an absolute majority, the Regulations of the Court necessary for its routine functioning.

2. The Prosecutor and the Registrar shall be consulted in the elaboration of the Regulations and any amendments thereto.

3. The Regulations and any amendments thereto shall take effect upon adoption unless otherwise decided by the judges. Immediately upon adoption, they shall be circulated to States Parties for comments. If within six months there are no objections from a majority of States Parties, they shall remain in force.

PART V
INVESTIGATION AND PROSECUTION.

Article 53.
Initiation of an investigation.

1. The Prosecutor shall, having evaluated the information made available to him or her, inittiate an investigation unless he or she determines that there is no reasonable basis to proceed under this Statute. In deciding whether to initiate an investigation, the Prosecutor shall consider whether—

(a) the information available to the Prosecutor provides a reasonable basis to believe that a crime within the jurisdiction of the Court has been or is being committed;

(b) the case is or would be admissible under article 17; and

(c) taking into account the gravity of the crime and the interests of victims, there are nonetheless substantial reasons to believe that in investigation would not serve the interests of justice.

If the Prosecutor determines that there is no reasonable basis to proceed and his or her determination is based solely on subparagraph (c) above, he or she shall inform the Pre-Trial Chamber.

2. If, upon investigation, the Prosecutor concludes that there is not a sufficient basis for a prosecution because—

(a) there is not a sufficient legal or factual basis to seek a warrant or sumnons under article 58;

(b) the case is inadmissible under article 17; or

(c) a prosecution is not in the interests of justice, taking into account all the circumstances, including the gravity of the crime, the interests of victims and the age or infirmity of the alleged perpetrator, and his or her role in the alleged crime;

the Prosecutor shall inform the Pre-Trial Chamber and the State making a referral under article 14 or the Security Council in a case under article 13, paragraph (b), of his or her conclusion and the reasons for the conclusion.

3.—

(a) At the request of the State making a referral under article 14 or the Security Council under article 13, paragraph (b), the Pre-Trial Chamber may review a decision of the Prosecutor under paragraph 1 or 2 not to proceed and may request the Prosecutor to reconsider that decision.

(b) In addition, the Pre-Trial Chamber may, on its own initiative, review a decision of the Prosecutor not to proceed if it is based solely on paragraph 1(c) or 2(c). In such a case, the decision of the Prosecutor shall be effective only if confirmed by the Pre-Trial Chamber.

4. The Prosecutor may, at any time, reconsider a decision whether to initiate an investigation or prosecution based on new facts or information.

Article 54.
Duties and powers of the Prosecutor with respect to investigations.

1. The Prosecutor shall—

(a) in order to establish the truth, extend the investigation to cover all facts and evidence relevant to an assessment of whether there is criminal responsibility under this Statute, and, in doing so, investigate incriminating and exonerating circumstances equally;

(b) take appropriate measures to ensure the effective investigation and prosecution of crimes within the jurisdiction of the Court, and in doing so, respect the interests and personal circumstances of victims and witnesses, including age, gender as defined in article 7, paragraph 3, and health, and take into account the nature of the crime, in particular where it involves sexual violence, gender violence or violence against children; and

2. The Prosecutor may conduct investigations on the territory of a State—

(a) in accordance with the provisions of Part IX; or

(b) as authorised by the Pre-Trial Chamber under article 57, paragraph 3(d).

3. The Prosecutor may—

(a) collect and examine evidence;

(b) request the presence of and question persons being investigated, victims and witnesses;

(c) seek the cooperation of any State or intergovernmental organisation or arrangement in accordance with its respective competence and/or mandate;

(d) enter into such arrangements or agreements, not inconsistent with this Statute, as may be necessary to facilitate the cooperation of a State, intergovernmental organisation or person;

(e) agree not to disclose, at any stage of the proceedings, documents or information that the Prosecutor obtains on the condition of confidentiality and solely for the purpose of generating new evidence, unless the provider of the information consents; and

(f) take necessary measures, or request that necessary measures be taken, to ensure the confidentiality of information, the protection of any person or the preservation of evidence.

Article 55.
Rights of persons during an investigation.

1. In respect of an investigation under this Statute, a person—

(a) shall not be compelled to incriminate himself or herself or to confess guilt;

(b) shall not be subjected to any form of coercion, duress or threat, to torture or to any other form of cruel, inhuman or degrading treatment or punishment;

(c) shall, if questioned in a language other than a language the person fully understands and speaks, have, free of any cost, the assistance of a competent interpreter and such translations as are necessary to meet the requirements of fairness; and

(d) shall not be subjected to arbitrary arrest or detention, and shall not be deprived of his or her liberty except on such grounds and in accordance with such procedures as are established in this Statute.

2. Where there are grounds to believe that a person has committed a crime within the jurisdiction of the Court and that person is about to be questioned either by the Prosecutor, or by national authorities pursuant to a request made under Part IX, that person shall also have the following rights of which he or she shall be informed prior to being questioned—

(a) to be informed, prior to being questioned, that there are grounds to believe that he or she has committed a crime within the jurisdiction of the Court;

(b) to remain silent, without such silence being a consideration in the determination of guilt or innocence;

(c) to have legal assistance of the person’s choosing, or, if the person does not have legal assistance, to have legal assistance assigned to him or her, in any case where the interests of justice so require, and without payment by the person in any such case if the person does not have sufficient means to pay for it; and

(d) to be questioned in the presence of counsel unless the person has voluntarily waived his or her right to counsel.

Article 56.
Role of the Pre-Trial Chamber in relation to a unique investigative opportunity.

1.—

(a) Where the Prosecutor considers an investigation to present a unique opportunity to take testimony or a statement from a witness or to examine, collect or test evidence, which may not be available subsequently for the purposes of a trial, the Prosecutor shall so inform the Pre-Trial Chamber.

(b) In that case, the Pre-Trial Chamber may, upon request of the Prosecutor, take such measures as may be necessary to ensure the efficiency and integrity of the proceedings and, in particular, to protect the rights of the defence.

(c) Unless the Pre-Trial Chamber orders otherwise, the Prosecutor shall provide the relevant information to the person who has been arrested or appeared in response to a summons in connection with the investigation referred to in subparagraph (a), in order that he or she may be heard on the matter.

2. The measures referred to in paragraph 1(b) may include—

(a) making recommendations or orders regarding procedures to be followed;

(b) directing that a record be made of the proceedings;

(d) authorising counsel for a person who has been arrested, or appeared before the Court in response to a summons, to participate, or where there has not yet been such an arrest or appearance or counsel has not been designated, appointing another counsel to attend and represent the interests of the defence;

(e) naming one of its members or, if necessary, another available judge of the Pre-Trial or Trial Division to observe and make recommendations or orders regarding the collection and preservation of evidence and the questioning of persons;

(f) taking such other action as may be necessary to collect or preserve evidence.

3.—

(a) Where the Prosecutor has not sought measures pursuant to this article but the Pre-Trial Chamber considers that such measures are required to preserve evidence that it deems would be essential for the defence at trial, it shall consult with the Prosecutor as to whether there is good reason for the Prosecutor’s failure to request the measures. If upon consultation, the Pre-Trial Chamber concludes that the Prosecutor’s failure to request such measures is unjustified, the Pre-Trial Chamber may take such measures on its own initiative.

(b) A decision of the Pre-Trial Chamber to act on its own initiative under this paragraph may be appealed by the Prosecutor. The appeal shall be heard on an expedited basis.

4. The admissibility of evidence preserved or collected for trial pursuant to this article, or the record thereof, shall be governed at trial by article 69, and given such weight as determined by the Trial Chamber.

Article 57.
Functions and powers of the Pre-Trial Chamber.

1. Unless otherwise provided in this Statute, the Pre-Trial Chamber shall exercise its functions in accordance with the provisions of this article.

2.—

(a) Orders or rulings of the Pre-Trial Chamber issued under articles 15, 18, 19, 54, paragraph 2, 61, paragraph 7, and 72 must be concurred in by a majority of its judges.

(b) In all other cases, a single judge of the Pre-Trial Chamber may exercise the functions provided for in this Statute, unless otherwise provided for in the Rules of Procedure and Evidence or by a majority of the Pre-Trial Chamber.

3. In addition to its other functions under this Statute, the Pre-Trial Chamber may—

(a) at the request of the Prosecutor, issue such orders and warrants as may be required for the purposes of an investigation;

(b) upon the request of a person who has been arrested or has appeared pursuant to a summons under article 58, issue such orders, including measures such as those described in article 56, or seek such cooperation pursuant to Part IX as may be necessary to assist the person in the preparation of his or her defence;

(c) where necessary, provide for the protection and privacy of victims and witnesses, the preservation of evidence, the protection of persons who have been arrested or appeared in response to a summons, and the protection of national security information;

(d) authorise the Prosecutor to take specific investigative steps within the territory of a State Party without having secured the cooperation of that State under Part IX if, whenever possible having regard to the views of the State concerned, the Pre-Trial Chamber has determined in that case that the State is clearly unable to execute a request for cooperation due to the unavailability of any authority or any component of its judicial system competent to execute the request for cooperation under Part IX;

(e) where a warrant of arrest or a summons has been issued under article 58, and having due regard to the strength of the evidence and the rights of the parties concerned, as provided for in this Statute and the Rules of Procedure and Evidence, seek the cooperation of States pursuant to article 93, paragraph 1(k), to take protective measures for the purpose of forfeiture, in particular for the ultimate benefit of victims.

Article 58.
Issuance by the Pre-Trial Chamber of a warrant of arrest or a summons to appear.

1. At any time after the initiation of an investigation, the Pre-Trial Chamber shall, on the application of the Prosecutor, issue a warrant of arrest of a person if, having examined the application and the evidence or other information submitted by the Prosecutor, it is satisfied that—

(a) there are reasonable grounds to believe that the person has committed a crime within the jurisdiction of the Court; and

(b) the arrest of the person appears necessary—

(i) to ensure the person’s appearance at trial;

(ii) to ensure that the person does not obstruct or endanger the investigation or the court proceedings; or

(iii) where applicable, to prevent the person from continuing with the commission of that crime or a related crime which is within the jurisdiction of the Court and which arises out of the same circumstances.

2. The application of the Prosecutor shall contain—

(a) the name of the person and any other relevant identifying information;

(b) a specific reference to the crimes within the jurisdiction of the Court which the person is alleged to have committed;

(d) a summary of the evidence and any other information which establish reasonable grounds to believe that the person committed those crimes; and

(e) the reason why the Prosecutor believes that the arrest of the person is necessary.

3. The warrant of arrest shall contain—

(a) the name of the person and any other relevant identifying information;

(b) a specific reference to the crimes within the jurisdiction of the Court for which the person’s arrest is sought; and

4. The warrant of arrest shall remain in effect until otherwise ordered by the Court.

5. On the basis of the warrant of arrest, the Court may request the provisional arrest or the arrest and surrender of the person under Part IX.

6. The Prosecutor may request the Pre-Trial Chamber to amend the warrant of arrest by modifying or adding to the crimes specified therein. The Pre-Trial Chamber shall so amend the warrant if it is satisfied that there are reasonable grounds to believe that the person committed the modified or additional crimes.

7. As an alternative to seeking a warrant of arrest, the Prosecutor may submit an application requesting that the Pre-Trial Chamber issue a summons for the person to appear. If the Pre-Trial Chamber is satisfied that there are reasonable grounds to believe that the person committed the crime alleged and that a summons is sufficient to ensure the person’s appearance, it shall issue the summons, with or without conditions restricting liberty (other than detention) if provided for by national law, for the person to appear. The summons shall contain—

(a) the name of the person and any other relevant identifying information;

(b) the specified date on which the person is to appear;

(c) a specific reference to the crimes within the jurisdiction of the Court which the person is alleged to have committed; and

(d) a concise statement of the facts which are alleged to constitute the crime.

The summons shall be served on the person.

Article 59.
Arrest proceedings in the custodial State.

1. A State Party which has received a request for provisional arrest or for arrest and surrender shall immediately take steps to arrest the person in question in accordance with its laws and the provisions of Part IX.

2. A person arrested shall be brought promptly before the competent judicial authority in the custodial State which shall determine, in accordance with the law of that State, that—

(a) the warrant applies to that person;

(b) the person has been arrested in accordance with the proper process; and

(d) the person’s rights have been respected.

3. The person arrested shall have the right to apply to the competent authority in the custodial State for interim release pending surrender.

4. In reaching a decision on any such application, the competent authority in the custodial State shall consider whether, given the gravity of the alleged crimes, there are urgent and exceptional circumstances to justify interim release and whether necessary safeguards exist to ensure that the custodial State can fulfil its duty to surrender the person to the Court. It shall not be open to the competent authority of the custodial State to consider whether the warrant of arrest was properly issued in accordance with article 58, paragraph 1(a) and (b).

5. The Pre-Trial Chamber shall be notified of any request for interim release and shall make recommendations to the competent authority in the custodial State. The competent authority in the custodial State shall give full consideration to such recommendations, including any recommendations on measures to prevent the escape of the person, before rendering its decision.

6. If the person is granted interim release, the Pre-Trial Chamber may request periodic reports on the status of the interim release.

7. Once ordered to be surrendered by the custodial State, the person shall be delivered to the Court as soon as possible.

Article 60.
Initial proceedings before the Court.

1. Upon the surrender of the person to the Court, or the person’s appearance before the Court voluntarily or pursuant to a summons, the Pre-Trial Chamber shall satisfy itself that the person has been informed of the crimes which he or she is alleged to have committed, and of his or her rights under this Statute, including the right to apply for interim release pending trial.

2. A person subject to a warrant of arrest may apply for interim release pending trial. If the Pre-Trial Chamber is satisfied that the conditions set forth in article 58, paragraph 1, are met, the person shall continue to be detained. If it is not so satisfied, the Pre-Trial Chamber shall release the person, with or without conditions.

3. The Pre-Trial Chamber shall periodically review its ruling on the release or detention of the person, and may do so at any time on the request of the Prosecutor or the person. Upon such review, it may modify its ruling as to detention, release or conditions of release, if it is satisfied that changed circumstances so require.

4. The Pre-Trial Chamber shall ensure that a person is not detained for an unreasonable period prior to trial due to inexcusable delay by the Prosecutor. If such delay occurs, the Court shall consider releasing the person, with or without conditions.

5. If necessary, the Pre-Trial Chamber may issue a warrant of arrest to secure the presence of a person who has been released.

Article 61.
Confirmation of the charges before trial.

1. Subject to the provisions of paragraph 2, within a reasonable time after the person’s surrender or voluntary appearance before the Court, the Pre-Trial Chamber shall hold a hearing to confirm the charges on which the Prosecutor intends to seek trial. The hearing shall be held in the presence of the Prosecutor and the person charged, as well as his or her counsel.

2. The Pre-Trial Chamber may, upon request of the Prosecutor or on its own motion, hold a hearing in the absence of the person charged to confirm the charges on which the Prosecutor intends to seek trial when the person has—

(a) waived his or her right to be present; or

(b) fled or cannot be found and all reasonable steps have been taken to secure his or her appearance before the Court and to inform the person of the charges and that a hearing to confirm those charges will be held.

In that case, the person shall be represented by counsel where the Pre-Trial Chamber determines that it is in the interests of justice.

3. Within a reasonable time before the hearing, the person shall—

(a) be provided with a copy of the document containing the charges on which the Prosecutor intends to bring the person to trial; and

(b) be informed of the evidence on which the Prosecutor intends to rely at the hearing.

The Pre-Trial Chamber may issue orders regarding the disclosure of information for the purposes of the hearing.

4. Before the hearing, the Prosecutor may continue the investigation and may amend or withdraw any charges. The person shall be given reasonable notice before the hearing of any amendment to or withdrawal of charges. In case of a withdrawal of charges, the Prosecutor shall notify the Pre-Trial Chamber of the reasons for the withdrawal.

5. At the hearing, the Prosecutor shall support each charge with sufficient evidence to establish substantial grounds to believe that the person committed the crime charged. The Prosecutor may rely on documentary or summary evidence and need not call the witnesses expected to testify at the trial.

6. At the hearing, the person may—

(a) object to the charges;

(b) challenge the evidence presented by the Prosecutor; and

7. The Pre-Trial Chamber shall, on the basis of the hearing, determine whether there is sufficient evidence to establish substantial grounds to believe that the person committed each of the crimes charged. Based on its determination, the Pre-Trial Chamber shall—

(a) confirm those charges in relation to which it has determined that there is sufficient evidence, and commit the person to a Trial Chamber for trial on the charges as confirmed;

(b) decline to confirm those charges in relation to which it has determined that there is insufficient evidence;

(i) providing further evidence or conducting further investigation with respect to a particular charge; or

(ii) amending a charge because the evidence submitted appears to establish a different crime within the jurisdiction of the Court.

8. Where the Pre-Trial Chamber declines to confirm a charge, the Prosecutor shall not be precluded from subsequently requesting its confirmation if the request is supported by additional evidence.

9. After the charges are confirmed and before the trial has begun, the Prosecutor may, with the permission of the Pre-Trial Chamber and after notice to the accused, amend the charges. If the Prosecutor seeks to add additional charges or to substitute more serious charges, a hearing under this article to confirm those charges must be held. After commencement of the trial, the Prosecutor may, with the permission of the Trial Chamber, withdraw the charges.

10. Any warrant previously issued shall cease to have effect with respect to any charges which have not been confirmed by the Pre-Trial Chamber or which have been withdrawn by the Prosecutor.

11. Once the charges have been confirmed in accordance with this article, the Presidency shall constitute a Trial Chamber which, subject to paragraph 9 and to article 64, paragraph 4, shall be responsible for the conduct of subsequent proceedings and may exercise any function of the Pre-Trial Chamber that is relevant and capable of application in those proceedings.

PART VI
THE TRIAL.

Article 62.
Place of trial.

Unless otherwise decided, the place of the trial shall be the seat of the Court.

Article 63.
Trial in the presence of the accused.

1. The accused shall be present during the trial.

2. If the accused, being present before the Court, continues to disrupt the trial, the Trial Chamber may remove the accused and shall make provision for him or her to observe the trial and instruct counsel from outside the courtroom, through the use of communications technology, if required. Such measures shall be taken only in exceptional circumstances after other reasonable alternatives have proved inadequate, and only for such duration as is strictly required.

Article 64.
Functions and powers of the Trial Chamber.

1. The functions and powers of the Trial Chamber set out in this article shall be exercised in accordance with this Statute and the Rules of Procedure and Evidence.

2. The Trial Chamber shall ensure that a trial is fair and expeditious and is conducted with full respect for the rights of the accused and due regard for the protection of victims and witnesses.

3. Upon assignment of a case for trial in accordance with this Statute, the Trial Chamber assigned to deal with the case shall—

(a) confer with the parties and adopt such procedures as are necessary to facilitate the fair and expeditious conduct of the proceedings;

(b) determine the language or languages to be used at trial; and

(c) subject to any other relevant provisions of this Statute, provide for disclosure of documents or information not previously disclosed, sufficiently in advance of the commencement of the trial to enable adequate preparation for trial.

4. The Trial Chamber may, if necessary for its effective and fair functioning, refer preliminary issues to the Pre-Trial Chamber or, if necessary, to another available judge of the Pre-Trial Division.

5. Upon notice to the parties, the Trial Chamber may, as appropriate, direct that there be joinder or severance in respect of charges against more than one accused.

6. In performing its functions prior to trial or during the course of a trial, the Trial Chamber may, as necessary—

(a) exercise any functions of the Pre-Trial Chamber referred to in article 61, paragraph 11;

(b) require the attendance and testimony of witnesses and production of documents and other evidence by obtaining, if necessary, the assistance of States as provided in this Statute;

(d) order the production of evidence in addition to that already collected prior to the trial or presented during the trial by the parties;

(e) provide for the protection of the accused, witnesses and victims; and

(f) rule on any other relevant matters.

7. The trial shall be held in public. The Trial Chamber may, however, determine that special circumstances require that certain proceedings be in closed session for the purposes set forth in article 68, or to protect confidential or sensitive information to be given in evidence.

8.—

(a) At the commencement of the trial, the Trial Chamber shall have read to the accused the charges previously confirmed by the Pre-Trial Chamber. The Trial Chamber shall satisfy itself that the accused understands the nature of the charges. It shall afford him or her the opportunity to make an admission of guilt in accordance with article 65 or to plead not guilty.

(b) At the trial, the presiding judge may give directions for the conduct of proceedings, including to ensure that they are conducted in a fair and impartial manner. Subject to any directions of the presiding judge, the parties may submit evidence in accordance with the provisions of this Statute.

9. The Trial Chamber shall have, inter alia, the power on application of a party or on its own motion to—

(a) rule on the admissibility or relevance of evidence; and

(b) take all necessary steps to maintain order in the course of a hearing.

10. The Trial Chamber shall ensure that a complete record of the trial, which accurately reflects the proceedings, is made and that it is maintained and preserved by the Registrar.

Article 65.
Proceedings on an admission of guilt.

1. Where the accused makes an admission of guilt pursuant to article 64, paragraph 8(a), the Trial Chamber shall determine whether—

(a) the accused understands the nature and consequences of the admission of guilt;

(b) the admission is voluntarily made by the accused after sufficient consultation with defence counsel; and

(i) the charges brought by the Prosecutor and admitted by the accused;

(ii) any materials presented by the Prosecutor which supplement the charges and which the accused accepts; and

(iii) any other evidence, such as the testimony of witnesses, presented by the Prosecutor or the accused.

2. Where the Trial Chamber is satisfied that the matters referred to in paragraph 1 are established, it shall consider the admission of guilt, together with any additional evidence presented, as establishing all the essential facts that are required to prove the crime to which the admission of guilt relates, and may convict the accused of that crime.

3. Where the Trial Chamber is not satisfied that the matters referred to in paragraph 1 are established, it shall consider the admission of guilt as not having been made, in which case it shall order that the trial be continued under the ordinary trial procedures provided by this Statute and may remit the case to another Trial Chamber.

4. Where the Trial Chamber is of the opinion that a more complete presentation of the facts of the case is required in the interests of justice, in particular the interests of the victims, the Trial Chamber may—

(a) request the Prosecutor to present additional evidence, including the testimony of witnesses; or

(b) order that the trial be continued under the ordinary trial procedures provided by this Statute, in which case it shall consider the admission of guilt as not having been made and may remit the case to another Trial Chamber.

5. Any discussions between the Prosecutor and the defence regarding modification of the charges, the admission of guilt or the penalty to be imposed shall not be binding on the Court.

Article 66.
Presumption of innocence.

1. Everyone shall be presumed innocent until proved guilty before the Court in accordance with the applicable law.

2. The onus is on the Prosecutor to prove the guilt of the accused.

3. In order to convict the accused, the Court must be convinced of the guilt of the accused beyond reasonable doubt.

Article 67.
Rights of the accused.

1. In the determination of any charge, the accused shall be entitled to a public hearing, having regard to the provisions of this Statute, to a fair hearing conducted impartially, and to the following minimum guarantees, in full equality—

(a) to be informed promptly and in detail of the nature, cause and content of the charge, in a language which the accused fully understands and speaks;

(b) to have adequate time and facilities for the preparation of the defence and to communicate freely with counsel of the accused’s choosing in confidence;

(d) subject to article 63, paragraph 2, to be present at the trial, to conduct the defence in person or through legal assistance of the accused’s choosing, to be informed, if the accused does not have legal assistance, of this right and to have legal assistance assigned by the Court in any case where the interests of justice so require, and without payment if the accused lacks sufficient means to pay for it;

(e) to examine, or have examined, the witnesses against him or her and to obtain the attendance and examination of witnesses on his or her behalf under the same conditions as witnesses against him or her. The accused shall also be entitled to raise defences and to present other evidence admissible under this Statute;

(f) to have, free of any cost, the assistance of a competent interpreter and such translations as are necessary to meet the requirements of fairness, if any of the proceedings of or documents presented to the Court are not in a language which the accused fully understands and speaks;

(g) not to be compelled to testify or to confess guilt and to remain silent, without such silence being a consideration in the determination of guilt or innocence;

(h) to make an unsworn oral or written statement in his or her defence; and

(i) not to have imposed on him or her any reversal of the burden of proof or any onus of rebuttal.

2. In addition to any other disclosure provided for in this Statute, the Prosecutor shall, as soon as practicable, disclose to the defence evidence in the Prosecutor’s possession or control which he or she believes shows or tends to show the innocence of the accused, or to mitigate the guilt of the accused, or which may affect the credibility of prosecution evidence. In case of doubt as to the application of this paragraph, the Court shall decide.

Article 68.
Protection of the victims and witnesses and their participation in the proceedings.

1. The Court shall take appropriate measures to protect the safety, physical and psychological wellbeing, dignity and privacy of victims and witnesses. In so doing, the Court shall have regard to all relevant factors, including age, gender as defined in article 7, paragraph 3, and health, and the nature of the crime, in particular, but not limited to, where the crime involves sexual or gender violence or violence against children. The Prosecutor shall take such measures particularly during the investigation and prosecution of such crimes. These measures shall not be prejudicial to or inconsistent with the rights of the accused and a fair and impartial trial.

2. As an exception to the principle of public hearings provided for in article 67, the Chambers of the Court may, to protect victims and witnesses or an accused, conduct any part of the proceedings in camera or allow the presentation of evidence by electronic or other special means. In particular, such measures shall be implemented in the case of a victim of sexual violence or a child who is a victim or a witness, unless otherwise ordered by the Court, having regard to all the circumstances, particularly the views of the victim or witness.

3. Where the personal interests of the victims are affected, the Court shall permit their views and concerns to be presented and considered at stages of the proceedings determined to be appropriate by the Court and in a manner which is not prejudicial to or inconsistent with the rights of the accused and a fair and impartial trial. Such views and concerns may be presented by the legal representatives of the victims where the Court considers it appropriate, in accordance with the Rules of Procedure and Evidence.

4. The Victims and Witnesses Unit may advise the Prosecutor and the Court on appropriate protective measures, security arrangements, counselling and assistance as referred to in article 43, paragraph 6.

5. Where the disclosure of evidence or information pursuant to this Statute may lead to the grave endangerment of the security of a witness or his or her family, the Prosecutor may, for the purposes of any proceedings conducted prior to the commencement of the trial, withhold such evidence or information and instead submit a summary thereof. Such measures shall be exercised in a manner which is not prejudicial to or inconsistent with the rights of the accused and a fair and impartial trial.

6. A State may make an application for necessary measures to be taken in respect of the protection of its servants or agents and the protection of confidential or sensitive information.

Article 69.
Evidence.

1. Before testifying, each witness shall, in accordance with the Rules of Procedure and Evidence, give an undertaking as to the truthfulness of the evidence to be given by that witness.

2. The testimony of a witness at trial shall be given in person, except to the extent provided by the measures set forth in article 68 or in the Rules of Procedure and Evidence. The Court may also permit the giving of viva voce (oral) or recorded testimony of a witness by means of video or audio technology, as well as the introduction of documents or written transcripts, subject to this Statute and in accordance with the Rules of Procedure and Evidence. These measures shall not be prejudicial to or inconsistent with the rights of the accused.

3. The parties may submit evidence relevant to the case, in accordance with article 64. The Court shall have the authority to request the submission of all evidence that it considers necessary for the determination of the truth.

4. The Court may rule on the relevance or admissibility of any evidence, taking into account, inter alia, the probative value of the evidence and any prejudice that such evidence may cause to a fair trial or to a fair evaluation of the testimony of a witness, in accordance with the Rules of Procedure and Evidence.

5. The Court shall respect and observe privileges on confidentiality as provided for in the Rules of Procedure and Evidence.

6. The Court shall not require proof of facts of common knowledge but may take judicial notice of them.

7. Evidence obtained by means of a violation of this Statute or internationally recognised human rights shall not be admissible if—

(a) the violation casts substantial doubt on the reliability of the evidence; or

(b) the admission of the evidence would be antithetical to and would seriously damage the integrity of the proceedings.

8. When deciding on the relevance or admissibility of evidence collected by a State, the Court shall not rule on the application of the State’s national law.

Article 70.
Offences against the administration of justice.

1. The Court shall have jurisdiction over the following offences against its administration of justice when committed intentionally—

(a) giving false testimony when under an obligation pursuant to article 69, paragraph 1, to tell the truth;

(b) presenting evidence that the party knows is false or forged;

(c) corruptly influencing a witness, obstructing or interfering with the attendance or testimony of a witness, retaliating against a witness for giving testimony or destroying, tampering with or interfering with the collection of evidence;

(d) impeding, intimidating or corruptly influencing an official of the Court for the purpose of forcing or persuading the official not to perform, or to perform improperly, his or her duties;

(e) retaliating against an official of the Court on account of duties performed by that or another official;

(f) soliciting or accepting a bribe as an official of the Court in connection with his or her official duties.

2. The principles and procedures governing the Court’s exercise of jurisdiction over offences under this article shall be those provided for in the Rules of Procedure and Evidence. The conditions for providing international cooperation to the Court with respect to its proceedings under this article shall be governed by the domestic laws of the requested State.

3. In the event of conviction, the Court may impose a term of imprisonment not exceeding five years, or a fine in accordance with the Rules of Procedure and Evidence, or both.

4.—

(a) Each State Party shall extend its criminal laws penalising offences against the integrity of its own investigative or judicial process to offences against the administration of justice referred to in this article, committed on its territory, or by one of its nationals.

(b) Upon request by the Court, whenever it deems it proper, the State Party shall submit the case to its competent authorities for the purpose of prosecution. Those authorities shall treat such cases with diligence and devote sufficient resources to enable them to be conducted effectively.

Article 71.
Sanctions for misconduct before the Court.

1. The Court may sanction persons present before it who commit misconduct, including disruption of its proceedings or deliberate refusal to comply with its directions, by administrative measures other than imprisonment, such as temporary or permanent removal from the courtroom, a fine or other similar measures provided for in the Rules of Procedure and Evidence.

2. The procedures governing the imposition of the measures set forth in paragraph 1 shall be those provided for in the Rules of Procedure and Evidence.

Article 72.
Protection of national security information.

1. This article applies in any case where the disclosure of the information or documents of a State would, in the opinion of that State, prejudice its national security interests. Such cases include those falling within the scope of article 56, paragraphs 2 and 3, article 61, paragraph 3, article 64, paragraph 3, article 67, paragraph 2, article 68, paragraph 6, article 87, paragraph 6 and article 93, as well as cases arising at any other stage of the proceedings where such disclosure may be at issue.

2. This article shall also apply when a person who has been requested to give information or evidence has refused to do so or has referred the matter to the State on the ground that disclosure would prejudice the national security interests of a State and the State concerned confirms that it is of the opinion that disclosure would prejudice its national security interests.

3. Nothing in this article shall prejudice the requirements of confidentiality applicable under article 54, paragraph 3(e) and (f), or the application of article 73.

4. If a State learns that information or documents of the State are being, or are likely to be, disclosed at any stage of the proceedings, and it is of the opinion that disclosure would prejudice its national security interests, that State shall have the right to intervene in order to obtain resolution of the issue in accordance with this article.

5. If, in the opinion of a State, disclosure of information would prejudice its national security interests, all reasonable steps will be taken by the State, acting in conjunction with the Prosecutor, the defence or the Pre-Trial Chamber or Trial Chamber, as the case may be, to seek to resolve the matter by cooperative means. Such steps may include—

(a) modification or clarification of the request;

(b) a determination by the Court regarding the relevance of the information or evidence sought, or a determination as to whether the evidence, though relevant, could be or has been obtained from a source other than the requested State;

(d) agreement on conditions under which the assistance could be provided including, among other things, providing summaries or redactions, limitations on disclosure, use of in camera or ex parte proceedings, or other protective measures permissible under the Statute and the Rules of Procedure and Evidence.

6. Once all reasonable steps have been taken to resolve the matter through cooperative means, and if the State considers that there are no means or conditions under which the information or documents could be provided or disclosed without prejudice to its national security interests, it shall so notify the Prosecutor or the Court of the specific reasons for its decision, unless a specific description of the reasons would itself necessarily result in such prejudice to the State’s national security interests.

7. Thereafter, if the Court determines that the evidence is relevant and necessary for the establishment of the guilt or innocence of the accused, the Court may undertake the following actions—

(a) where disclosure of the information or document is sought pursuant to a request for cooperation under Part IX or the circumstances described in paragraph 2, and the State has invoked the ground for refusal referred to in article 93, paragraph 4—

(i) the Court may, before making any conclusion referred to in subparagraph 7(a)(ii), request further consultations for the purpose of considering the State’s representations, which may include, as appropriate, hearings in camera and ex parte;

(ii) if the Court concludes that, by invoking the ground for refusal under article 93, paragraph 4, in the circumstances of the case, the requested State is not acting in accordance with its obligations under this Statute, the Court may refer the matter in accordance with article 87, paragraph 7, specifying the reasons for its conclusion; and

(iii) the Court may make such inference in the trial of the accused as to the existence or nonexistence of a fact, as may be appropriate in the circumstances; or

(b) in all other circumstances—

(i) order disclosure; or

(ii) to the extent it does not order disclosure, make such inference in the trial of the accused as to the existence or nonexistence of a fact, as may be appropriate in the circumstances.

Article 73.
Third party information or documents.

If a State Party is requested by the Court to provide a document or information in its custody, possession or control, which was disclosed to it in confidence by a State, intergovernmental organisation or international organisation, it shall seek the consent of the originator to disclose that document or information. If the originator is a State Party, it shall either consent to disclosure of the information or document or undertake to resolve the issue of disclosure with the Court, subject to the provisions of article 72. If the originator is not a State Party and refuses to consent to disclosure, the requested State shall inform the Court that it is unable to provide the document or information because of a preexisting obligation of confidentiality to the originator.

Article 74.
Requirements for the decision.

1. All the judges of the Trial Chamber shall be present at each stage of the trial and throughout their deliberations. The Presidency may, on a case-by-case basis, designate, as available, one or more alternate judges to be present at each stage of the trial and to replace a member of the Trial Chamber if that member is unable to continue attending.

2. The Trial Chamber’s decision shall be based on its evaluation of the evidence and the entire proceedings. The decision shall not exceed the facts and circumstances described in the charges and any amendments to the charges. The Court may base its decision only on evidence submitted and discussed before it at the trial.

3. The judges shall attempt to achieve unanimity in their decision, failing which the decision shall be taken by a majority of the judges.

4. The deliberations of the Trial Chamber shall remain secret.

5. The decision shall be in writing and shall contain a full and reasoned statement of the Trial Chamber’s findings on the evidence and conclusions. The Trial Chamber shall issue one decision. When there is no unanimity, the Trial Chamber’s decision shall contain the views of the majority and the minority. The decision or a summary thereof shall be delivered in open court.

Article 75.
Reparations to victims.

1. The Court shall establish principles relating to reparations to, or in respect of, victims, including restitution, compensation and rehabilitation. On this basis, in its decision the Court may, either upon request or on its own motion in exceptional circumstances, determine the scope and extent of any damage, loss and injury to, or in respect of, victims and will state the principles on which it is acting.

2. The Court may make an order directly against a convicted person specifying appropriate reparations to, or in respect of, victims, including restitution, compensation and rehabilitation.

Where appropriate, the Court may order that the award for reparations be made through the Trust Fund provided for in article 79.

3. Before making an order under this article, the Court may invite and shall take account of representations from or on behalf of the convicted person, victims, other interested persons or interested States.

4. In exercising its power under this article, the Court may, after a person is convicted of a crime within the jurisdiction of the Court, determine whether, in order to give effect to an order which it may make under this article, it is necessary to seek measures under article 93, paragraph 1.

5. A State Party shall give effect to a decision under this article as if the provisions of article 109 were applicable to this article.

6. Nothing in this article shall be interpreted as prejudicing the rights of victims under national or international law.

Article 76.
Sentencing.

1. In the event of a conviction, the Trial Chamber shall consider the appropriate sentence to be imposed and shall take into account the evidence presented and submissions made during the trial that are relevant to the sentence.

2. Except where article 65 applies and before the completion of the trial, the Trial Chamber may on its own motion and shall, at the request of the Prosecutor or the accused, hold a further hearing to hear any additional evidence or submissions relevant to the sentence, in accordance with the Rules of Procedure and Evidence.

3. Where paragraph 2 applies, any representations under article 75 shall be heard during the further hearing referred to in paragraph 2 and, if necessary, during any additional hearing.

4. The sentence shall be pronounced in public and, wherever possible, in the presence of the accused.

PART VII
PENALTIES.

Article 77.
Applicable penalties.

1. Subject to article 110, the Court may impose one of the following penalties on a person convicted of a crime referred to in article 5 of this Statute—

(a) imprisonment for a specified number of years, which may not exceed a maximum of 30 years; or

(b) a term of life imprisonment when justified by the extreme gravity of the crime and the individual circumstances of the convicted person.

2. In addition to imprisonment, the Court may order—

(a) a fine under the criteria provided for in the Rules of Procedure and Evidence;

(b) a forfeiture of proceeds, property and assets derived directly or indirectly from that crime, without prejudice to the rights of bona fide third parties.

Article 78.
Determination of the sentence.

1. In determining the sentence, the Court shall, in accordance with the Rules of Procedure and Evidence, take into account such factors as the gravity of the crime and the individual circumstances of the convicted person.

2. In imposing a sentence of imprisonment, the Court shall deduct the time, if any, previously spent in detention in accordance with an order of the Court. The Court may deduct any time otherwise spent in detention in connection with conduct underlying the crime.

3. When a person has been convicted of more than one crime, the Court shall pronounce a sentence for each crime and a joint sentence specifying the total period of imprisonment. This period shall be no less than the highest individual sentence pronounced and shall not exceed 30 years imprisonment or a sentence of life imprisonment in conformity with article 77, paragraph 1(b).

Article 79.
Trust Fund.

1. A Trust Fund shall be established by decision of the Assembly of States Parties for the benefit of victims of crimes within the jurisdiction of the Court, and of the families of such victims.

2. The Court may order money and other property collected through fines or forfeiture to be transferred, by order of the Court, to the Trust Fund.

3. The Trust Fund shall be managed according to criteria to be determined by the Assembly of States Parties.

Article 80.
Nonprejudice to national application of penalties and national laws.

Nothing in this Part affects the application by States of penalties prescribed by their national law, nor the law of States which do not provide for penalties prescribed in this Part.

PART VIII
APPEAL AND REVISION.

Article 81.
Appeal against decision of acquittal or conviction or against sentence.

1. A decision under article 74 may be appealed in accordance with the Rules of Procedure and Evidence as follows—

(a) the Prosecutor may make an appeal on any of the following grounds—

(i) procedural error;

(ii) error of fact; or

(iii) error of law;

(b) the convicted person, or the Prosecutor on that person’s behalf, may make an appeal on any of the following grounds—

(i) procedural error;

(ii) error of fact;

(iii) error of law; or

(iv) any other ground that affects the fairness or reliability of the proceedings or decision.

2.—

(a) A sentence may be appealed, in accordance with the Rules of Procedure and Evidence, by the Prosecutor or the convicted person on the ground of disproportion between the crime and the sentence.

(b) If on an appeal against sentence the Court considers that there are grounds on which the conviction might be set aside, wholly or in part, it may invite the Prosecutor and the convicted person to submit grounds under article 81, paragraph 1(a) or (b), and may render a decision on conviction in accordance with article 83.

(c) The same procedure applies when the Court, on an appeal against conviction only, considers that there are grounds to reduce the sentence under paragraph 2(a).

3.—

(a) Unless the Trial Chamber orders otherwise, a convicted person shall remain in custody pending an appeal.

(b) When a convicted person’s time in custody exceeds the sentence of imprisonment imposed, that person shall be released, except that if the Prosecutor is also appealing, the release may be subject to the conditions under subparagraph (c) below.

(i) under exceptional circumstances, and having regard, inter alia, to the concrete risk of flight, the seriousness of the offence charged and the probability of success on appeal, the Trial Chamber, at the request of the Prosecutor, may maintain the detention of the person pending appeal;

(ii) a decision by the Trial Chamber under subparagraph (c)(i) may be appealed in accordance with the Rules of Procedure and Evidence.

4. Subject to the provisions of paragraph 3(a) and (b), execution of the decision or sentence shall be suspended during the period allowed for appeal and for the duration of the appeal proceedings.

Article 82.
Appeal against other decisions.

1. Either party may appeal any of the following decisions in accordance with the Rules of Procedure and Evidence—

(a) a decision with respect to jurisdiction or admissibility;

(b) a decision granting or denying release of the person being investigated or prosecuted;

(d) a decision that involves an issue that would significantly affect the fair and expeditious conduct of the proceedings or the outcome of the trial, and for which, in the opinion of the Pre-Trial or Trial Chamber, an immediate resolution by the Appeals Chamber may materially advance the proceedings.

2. A decision of the Pre-Trial Chamber under article 57, paragraph 3(d), may be appealed against by the State concerned or by the Prosecutor, with the leave of the Pre-Trial Chamber. The appeal shall be heard on an expedited basis.

3. An appeal shall not of itself have suspensive effect unless the Appeals Chamber so orders, upon request, in accordance with the Rules of Procedure and Evidence.

4. A legal representative of the victims, the convicted person or a bona fide owner of property adversely affected by an order under article 75 may appeal against the order for reparations, as provided in the Rules of Procedure and Evidence.

Article 83.
Proceedings on appeal.

1. For the purposes of proceedings under article 81 and this article, the Appeals Chamber shall have all the powers of the Trial Chamber.

2. If the Appeals Chamber finds that the proceedings appealed from were unfair in a way that affected the reliability of the decision or sentence, or that the decision or sentence appealed from was materially affected by error of fact or law or procedural error, it may—

(a) reverse or amend the decision or sentence; or

(b) order a new trial before a different Trial Chamber.

For these purposes, the Appeals Chamber may remand a factual issue to the original Trial Chamber for it to determine the issue and to report back accordingly, or may itself call evidence to determine the issue. When the decision or sentence has been appealed only by the person convicted, or the Prosecutor on that person’s behalf, it cannot be amended to his or her detriment.

3. If in an appeal against sentence the Appeals Chamber finds that the sentence is disproportionate to the crime, it may vary the sentence in accordance with Part VII.

4. The judgement of the Appeals Chamber shall be taken by a majority of the judges and shall be delivered in open court. The judgement shall state the reasons on which it is based. When there is no unanimity, the judgement of the Appeals Chamber shall contain the views of the majority and the minority, but a judge may deliver a separate or dissenting opinion on a question of law.

5. The Appeals Chamber may deliver its judgement in the absence of the person acquitted or convicted.

Article 84.
Revision of conviction or sentence.

1. The convicted person or, after death, spouses, children, parents or one person alive at the time of the accused’s death who has been given express written instructions from the accused to bring such a claim, or the Prosecutor on the person’s behalf, may apply to the Appeals Chamber to revise the final judgement of conviction or sentence on the grounds that—

(a) new evidence has been discovered that—

(i) was not available at the time of trial, and such unavailability was not wholly or partially attributable to the party making application; and

(ii) is sufficiently important that had it been proved at trial it would have been likely to have resulted in a different verdict;

(b) it has been newly discovered that decisive evidence, taken into account at trial and upon which the conviction depends, was false, forged or falsified;

(c) one or more of the judges who participated in conviction or confirmation of the charges has committed, in that case, an act of serious misconduct or serious breach of duty of sufficient gravity to justify the removal of that judge or those judges from office under article 46.

2. The Appeals Chamber shall reject the application if it considers it to be unfounded. If it determines that the application is meritorious, it may, as appropriate—

(a) reconvene the original Trial Chamber;

(b) constitute a new Trial Chamber; or

with a view to, after hearing the parties in the manner set forth in the Rules of Procedure and Evidence, arriving at a determination on whether the judgement should be revised.

Article 85.
Compensation to an arrested or convicted person.

1. Anyone who has been the victim of unlawful arrest or detention shall have an enforceable right to compensation.

2. When a person has by a final decision been convicted of a criminal offence, and when subsequently his or her conviction has been reversed on the ground that a new or newly discovered fact shows conclusively that there has been a miscarriage of justice, the person who has suffered punishment as a result of such conviction shall be compensated according to law, unless it is proved that the nondisclosure of the unknown fact in time is wholly or partly attributable to him or her.

3. In exceptional circumstances, where the Court finds conclusive facts showing that there has been a grave and manifest miscarriage of justice, it may in its discretion award compensation, according to the criteria provided in the Rules of Procedure and Evidence, to a person who has been released from detention following a final decision of acquittal or a termination of the proceedings for that reason.

PART IX
INTERNATIONAL COOPERATION AND JUDICIAL ASSISTANCE.

Article 86.
General obligation to cooperate.

States Parties shall, in accordance with the provisions of this Statute, cooperate fully with the Court in its investigation and prosecution of crimes within the jurisdiction of the Court.

Article 87.
Requests for cooperation: general provisions.

1.—

(a) The Court shall have the authority to make requests to States Parties for cooperation. The requests shall be transmitted through the diplomatic channel or any other appropriate channel as may be designated by each State Party upon ratification, acceptance, approval or accession.

Subsequent changes to the designation shall be made by each State Party in accordance with the Rules of Procedure and Evidence.

(b) When appropriate, without prejudice to the provisions of subparagraph (a), requests may also be transmitted through the International Criminal Police Organization or any appropriate regional organisation.

2. Requests for cooperation and any documents supporting the request shall either be in or be accompanied by a translation into an official language of the requested State or one of the working languages of the Court, in accordance with the choice made by that State upon ratification, acceptance, approval or accession.

Subsequent changes to this choice shall be made in accordance with the Rules of Procedure and Evidence.

3. The requested State shall keep confidential a request for cooperation and any documents supporting the request, except to the extent that the disclosure is necessary for execution of the request.

4. In relation to any request for assistance presented under this Part, the Court may take such measures, including measures related to the protection of information, as may be necessary to ensure the safety or physical or psychological wellbeing of any victims, potential witnesses and their families. The Court may request that any information that is made available under this Part shall be provided and handled in a manner that protects the safety and physical or psychological wellbeing of any victims, potential witnesses and their families.

5.—

(a) The Court may invite any State not party to this Statute to provide assistance under this Part on the basis of an ad hoc arrangement, an agreement with such State or any other appropriate basis.

(b) Where a State not party to this Statute, which has entered into an ad hoc arrangement or an agreement with the Court, fails to cooperate with requests pursuant to any such arrangement or agreement, the Court may so inform the Assembly of States Parties or, where the Security Council referred the matter to the Court, the Security Council.

6. The Court may ask any intergovernmental organisation to provide information or documents. The Court may also ask for other forms of cooperation and assistance which may be agreed upon with such an organisation and which are in accordance with its competence or mandate.

7. Where a State Party fails to comply with a request to cooperate by the Court contrary to the provisions of this Statute, thereby preventing the Court from exercising its functions and powers under this Statute, the Court may make a finding to that effect and refer the matter to the Assembly of States Parties or, where the Security Council referred the matter to the Court, to the Security Council.

Article 88.
Availability of procedures under national law.

States Parties shall ensure that there are procedures available under their national law for all of the forms of cooperation which are specified under this Part.

Article 89.
Surrender of persons to the Court.

1. The Court may transmit a request for the arrest and surrender of a person, together with the material supporting the request outlined in article 91, to any State on the territory of which that person may be found and shall request the cooperation of that State in the arrest and surrender of such a person. States Parties shall, in accordance with the provisions of this Part and the procedure under their national law, comply with requests for arrest and surrender.

2. Where the person sought for surrender brings a challenge before a national court on the basis of the principle of ne bis in idem as provided in article 20, the requested State shall immediately consult with the Court to determine if there has been a relevant ruling on admissibility. If the case is admissible, the requested State shall proceed with the execution of the request. If an admissibility ruling is pending, the requested State may postpone the execution of the request for surrender of the person until the Court makes a determination on admissibility.

3.—

(a) A State Party shall authorise, in accordance with its national procedural law, transportation through its territory of a person being surrendered to the Court by another State, except where transit through that State would impede or delay the surrender.

(b) A request by the Court for transit shall be transmitted in accordance with article 87. The request for transit shall contain—

(i) a description of the person being transported;

(ii) a brief statement of the facts of the case and their legal characterisation; and

(iii) the warrant for arrest and surrender.

(d) No authorisation is required if the person is transported by air and no landing is scheduled on the territory of the transit State.

(e) If an unscheduled landing occurs on the territory of the transit State, that State may require a request for transit from the Court as provided for in subparagraph (b). The transit State shall detain the person being transported until the request for transit is received and the transit is effected, provided that detention for purposes of this subparagraph may not be extended beyond 96 hours from the unscheduled landing unless the request is received within that time.

4. If the person sought is being proceeded against or is serving a sentence in the requested State for a crime different from that for which surrender to the Court is sought, the requested State, after making its decision to grant the request, shall consult with the Court.

Article 90.
Competing requests.

1. A State Party which receives a request from the Court for the surrender of a person under article 89 shall, if it also receives a request from any other State for the extradition of the same person for the same conduct which forms the basis of the crime for which the Court seeks the person’s surrender, notify the Court and the requesting State of that fact.

2. Where the requesting State is a State Party, the requested State shall give priority to the request from the Court if—

(a) the Court has, pursuant to article 18 or 19, made a determination that the case in respect of which surrender is sought is admissible and that determination takes into account the investigation or prosecution conducted by the requesting State in respect of its request for extradition; or

(b) the Court makes the determination described in subparagraph (a) pursuant to the requested State’s notification under paragraph 1.

3. Where a determination under paragraph 2(a) has not been made, the requested State may, at its discretion, pending the determination of the Court under paragraph 2(b), proceed to deal with the request for extradition from the requesting State but shall not extradite the person until the Court has determined that the case is inadmissible. The Court’s determination shall be made on an expedited basis.

4. If the requesting State is a State not Party to this Statute the requested State, if it is not under an international obligation to extradite the person to the requesting State, shall give priority to the request for surrender from the Court, if the Court has determined that the case is admissible.

5. Where a case under paragraph 4 has not been determined to be admissible by the Court, the requested State may, at its discretion, proceed to deal with the request for extradition from the requesting State.

6. In cases where paragraph 4 applies except that the requested State is under an existing international obligation to extradite the person to the requesting State not Party to this Statute, the requested State shall determine whether to surrender the person to the Court or extradite the person to the requesting State. In making its decision, the requested State shall consider all the relevant factors, including but not limited to—

(a) the respective dates of the requests;

(b) the interests of the requesting State including, where relevant, whether the crime was committed in its territory and the nationality of the victims and of the person sought; and

7. Where a State Party which receives a request from the Court for the surrender of a person also receives a request from any State for the extradition of the same person for conduct other than that which constitutes the crime for which the Court seeks the person’s surrender—

(a) the requested State shall, if it is not under an existing international obligation to extradite the person to the requesting State, give priority to the request from the Court;

(b) the requested State shall, if it is under an existing international obligation to extradite the person to the requesting State, determine whether to surrender the person to the Court or to extradite the person to the requesting State. In making its decision, the requested State shall consider all the relevant factors, including but not limited to those set out in paragraph 6, but shall give special consideration to the relative nature and gravity of the conduct in question.

8. Where pursuant to a notification under this article, the Court has determined a case to be inadmissible, and subsequently extradition to the requesting State is refused, the requested State shall notify the Court of this decision.

Article 91.
Contents of request for arrest and surrender.

1. A request for arrest and surrender shall be made in writing. In urgent cases, a request may be made by any medium capable of delivering a written record, provided that the request shall be confirmed through the channel provided for in article 87, paragraph 1(a).

2. In the case of a request for the arrest and surrender of a person for whom a warrant of arrest has been issued by the Pre-Trial Chamber under article 58, the request shall contain or be supported by—

(a) information describing the person sought, sufficient to identify the person, and information as to that person’s probable location;

(b) a copy of the warrant of arrest; and

(c) such documents, statements or information as may be necessary to meet the requirements for the surrender process in the requested State, except that those requirements should not be more burdensome than those applicable to requests for extradition pursuant to treaties or arrangements between the requested State and other States and should, if possible, be less burdensome, taking into account the distinct nature of the Court.

3. In the case of a request for the arrest and surrender of a person already convicted, the request shall contain or be supported by—

(a) a copy of any warrant of arrest for that person;

(b) a copy of the judgement of conviction;

(d) if the person sought has been sentenced, a copy of the sentence imposed and, in the case of a sentence for imprisonment, a statement of any time already served and the time remaining to be served.

4. Upon the request of the Court, a State Party shall consult with the Court, either generally or with respect to a specific matter, regarding any requirements under its national law that may apply under paragraph 2(c). During the consultations, the State Party shall advise the Court of the specific requirements of its national law.

Article 92.
Provisional arrest.

1. In urgent cases, the Court may request the provisional arrest of the person sought, pending presentation of the request for surrender and the documents supporting the request as specified in article 91.

2. The request for provisional arrest shall be made by any medium capable of delivering a written record and shall contain—

(a) information describing the person sought, sufficient to identify the person, and information as to that person’s probable location;

(b) a concise statement of the crimes for which the person’s arrest is sought and of the facts which are alleged to constitute those crimes, including, where possible, the date and location of the crime;

(d) a statement that a request for surrender of the person sought will follow.

3. A person who is provisionally arrested may be released from custody if the requested State has not received the request for surrender and the documents supporting the request as specified in article 91 within the time limits specified in the Rules of Procedure and Evidence. However, the person may consent to surrender before the expiration of this period if permitted by the law of the requested State. In such a case, the requested State shall proceed to surrender the person to the Court as soon as possible.

4. The fact that the person sought has been released from custody pursuant to paragraph 3 shall not prejudice the subsequent arrest and surrender of that person if the request for surrender and the documents supporting the request are delivered at a later date.

Article 93.
Other forms of cooperation.

1. States Parties shall, in accordance with the provisions of this Part and under procedures of national law, comply with requests by the Court to provide the following assistance in relation to investigations or prosecutions—

(a) the identification and whereabouts of persons or the location of items;

(b) the taking of evidence, including testimony under oath, and the production of evidence, including expert opinions and reports necessary to the Court;

(d) the service of documents, including judicial documents;

(e) facilitating the voluntary appearance of persons as witnesses or experts before the Court;

(f) the temporary transfer of persons as provided in paragraph 7;

(g) the examination of places or sites, including the exhumation and examination of grave sites;

(h) the execution of searches and seizures;

(i) the provision of records and documents, including official records and documents;

(j) the protection of victims and witnesses and the preservation of evidence;

(k) the identification, tracing and freezing or seizure of proceeds, property and assets and instrumentalities of crimes for the purpose of eventual forfeiture, without prejudice to the rights of bona fide third parties; and

(l) any other type of assistance which is not prohibited by the law of the requested State, with a view to facilitating the investigation and prosecution of crimes within the jurisdiction of the Court.

2. The Court shall have the authority to provide an assurance to a witness or an expert appearing before the Court that he or she will not be prosecuted, detained or subjected to any restriction of personal freedom by the Court in respect of any act or omission that preceded the departure of that person from the requested State.

3. Where execution of a particular measure of assistance detailed in a request presented under paragraph 1, is prohibited in the requested State on the basis of an existing fundamental legal principle of general application, the requested State shall promptly consult with the Court to try to resolve the matter. In the consultations, consideration should be given to whether the assistance can be rendered in another manner or subject to conditions. If after consultations the matter cannot be resolved, the Court shall modify the request as necessary.

4. In accordance with article 72, a State Party may deny a request for assistance, in whole or in part, only if the request concerns the production of any documents or disclosure of evidence which relates to its national security.

5. Before denying a request for assistance under paragraph 1(l), the requested State shall consider whether the assistance can be provided subject to specified conditions, or whether the assistance can be provided at a later date or in an alternative manner, provided that if the Court or the Prosecutor accepts the assistance subject to conditions, the Court or the Prosecutor shall abide by them.

6. If a request for assistance is denied, the requested State Party shall promptly inform the Court or the Prosecutor of the reasons for such denial.

7.—

(a) The Court may request the temporary transfer of a person in custody for purposes of identification or for obtaining testimony or other assistance. The person may be transferred if the following conditions are fulfilled—

(i) the person freely gives his or her informed consent to the transfer; and

(ii) the requested State agrees to the transfer, subject to such conditions as that State and the Court may agree.

(b) The person being transferred shall remain in custody. When the purposes of the transfer have been fulfilled, the Court shall return the person without delay to the requested State.

8.—

(a) The Court shall ensure the confidentiality of documents and information, except as required for the investigation and proceedings described in the request.

(b) The requested State may, when necessary, transmit documents or information to the Prosecutor on a confidential basis. The Prosecutor may then use them solely for the purpose of generating new evidence.

(c) The requested State may, on its own motion or at the request of the Prosecutor, subsequently consent to the disclosure of such documents or information. They may then be used as evidence pursuant to the provisions of Parts V and VI and in accordance with the Rules of Procedure and Evidence.

9.—

(a)—

(i) In the event that a State Party receives competing requests, other than for surrender or extradition, from the Court and from another State pursuant to an international obligation, the State Party shall endeavour, in consultation with the Court and the other State, to meet both requests, if necessary by postponing or attaching conditions to one or the other request.

(ii) Failing that, competing requests shall be resolved in accordance with the principles established in article 90.

(b) Where, however, the request from the Court concerns information, property or persons which are subject to the control of a third State or an international organisation by virtue of an international agreement, the requested States shall so inform the Court and the Court shall direct its request to the third State or international organisation.

10.—

(a) The Court may, upon request, cooperate with and provide assistance to a State Party conducting an investigation into or trial in respect of conduct which constitutes a crime within the jurisdiction of the Court or which constitutes a serious crime under the national law of the requesting State.

(b)—

(i) The assistance provided under subparagraph (a) shall include, inter alia—

a. the transmission of statements, documents or other types of evidence obtained in the course of an investigation or a trial conducted by the Court; and

b. the questioning of any person detained by order of the Court.

(ii) In the case of assistance under subparagraph (b)(i)a—

a. if the documents or other types of evidence have been obtained with the assistance of a State, such transmission shall require the consent of that State;

b. if the statements, documents or other types of evidence have been provided by a witness or expert, such transmission shall be subject to the provisions of article 68.

(c) The Court may, under the conditions set out in this paragraph, grant a request for assistance under this paragraph from a State which is not a Party to this Statute.

Article 94.
Postponement of execution of a request in respect of ongoing investigation or prosecution.

1. If the immediate execution of a request would interfere with an ongoing investigation or prosecution of a case different from that to which the request relates, the requested State may postpone the execution of the request for a period of time agreed upon with the Court. However, the postponement shall be no longer than is necessary to complete the relevant investigation or prosecution in the requested State. Before making a decision to postpone, the requested State should consider whether the assistance may be immediately provided subject to certain conditions.

2. If a decision to postpone is taken pursuant to paragraph 1, the Prosecutor may, however, seek measures to preserve evidence, pursuant to article 93, paragraph 1(j).

Article 95.
Postponement of execution of a request in respect of an admissibility challenge.

Where there is an admissibility challenge under consideration by the Court pursuant to article 18 or 19, the requested State may postpone the execution of a request under this Part pending a determination by the Court, unless the Court has specifically ordered that the Prosecutor may pursue the collection of such evidence pursuant to article 18 or 19.

Article 96.
Contents of request for other forms of assistance under article 93.

1. A request for other forms of assistance referred to in article 93 shall be made in writing. In urgent cases, a request may be made by any medium capable of delivering a written record, provided that the request shall be confirmed through the channel provided for in article 87, paragraph 1(a).

2. The request shall, as applicable, contain or be supported by the following—

(a) a concise statement of the purpose of the request and the assistance sought, including the legal basis and the grounds for the request;

(b) as much detailed information as possible about the location or identification of any person or place that must be found or identified in order for the assistance sought to be provided;

(d) the reasons for and details of any procedure or requirement to be followed;

(e) such information as may be required under the law of the requested State in order to execute the request; and

(f) any other information relevant in order for the assistance sought to be provided.

3. Upon the request of the Court, a State Party shall consult with the Court, either generally or with respect to a specific matter, regarding any requirements under its national law that may apply under paragraph 2(e). During the consultations, the State Party shall advise the Court of the specific requirements of its national law.

4. The provisions of this article shall, where applicable, also apply in respect of a request for assistance made to the Court.

Article 97.
Consultations.

Where a State Party receives a request under this Part in relation to which it identifies problems which may impede or prevent the execution of the request, that State shall consult with the Court without delay in order to resolve the matter. Such problems may include, inter alia—

(a) insufficient information to execute the request;

(b) in the case of a request for surrender, the fact that despite best efforts, the person sought cannot be located or that the investigation conducted has determined that the person in the requested State is clearly not the person named in the warrant; or

(c) the fact that execution of the request in its current form would require the requested State to breach a preexisting treaty obligation undertaken with respect to another State.

Article 98.
Cooperation with respect to waiver of immunity and consent to surrender.

1. The Court may not proceed with a request for surrender or assistance which would require the requested State to act inconsistently with its obligations under international law with respect to the State or diplomatic immunity of a person or property of a third State, unless the Court can first obtain the cooperation of that third State for the waiver of the immunity.

2. The Court may not proceed with a request for surrender which would require the requested State to act inconsistently with its obligations under international agreements pursuant to which the consent of a sending State is required to surrender a person of that State to the Court, unless the Court can first obtain the cooperation of the sending State for the giving of consent for the surrender.

Article 99.
Execution of requests under articles 93 and 96.

1. Requests for assistance shall be executed in accordance with the relevant procedure under the law of the requested State and, unless prohibited by such law, in the manner specified in the request, including following any procedure outlined therein or permitting persons specified in the request to be present at and assist in the execution process.

2. In the case of an urgent request, the documents or evidence produced in response shall, at the request of the Court, be sent urgently.

3. Replies from the requested State shall be transmitted in their original language and form.

4. Without prejudice to other articles in this Part, where it is necessary for the successful execution of a request which can be executed without any compulsory measures, including specifically the interview of or taking evidence from a person on a voluntary basis, including doing so without the presence of the authorities of the requested State Party if it is essential for the request to be executed, and the examination without modification of a public site or other public place, the Prosecutor may execute such request directly on the territory of a State as follows—

(a) when the State Party requested is a State on the territory of which the crime is alleged to have been committed, and there has been a determination of admissibility pursuant to article 18 or 19, the Prosecutor may directly execute such request following all possible consultations with the requested State Party;

(b) in other cases, the Prosecutor may execute such request following consultations with the requested State Party and subject to any reasonable conditions or concerns raised by that State Party. Where the requested State Party identifies problems with the execution of a request pursuant to this subparagraph it shall, without delay, consult with the Court to resolve the matter.

5. Provisions allowing a person heard or examined by the Court under article 72 to invoke restrictions designed to prevent disclosure of confidential information connected with national security shall also apply to the execution of requests for assistance under this article.

Article 100.
Costs.

1. The ordinary costs for execution of requests in the territory of the requested State shall be borne by that State, except for the following, which shall be borne by the Court—

(a) costs associated with the travel and security of witnesses and experts or the transfer under article 93 of persons in custody;

(b) costs of translation, interpretation and transcription;

(c) travel and subsistence costs of the judges, the Prosecutor, the Deputy Prosecutors, the Registrar, the Deputy Registrar and staff of any organ of the Court;

(d) costs of any expert opinion or report requested by the Court;

(e) costs associated with the transport of a person being surrendered to the Court by a custodial State; and

(f) following consultations, any extraordinary costs that may result from the execution of a request.

2. The provisions of paragraph 1 shall, as appropriate, apply to requests from States Parties to the Court. In that case, the Court shall bear the ordinary costs of execution.

Article 101.
Rule of speciality.

1. A person surrendered to the Court under this Statute shall not be proceeded against, punished or detained for any conduct committed prior to surrender, other than the conduct or course of conduct which forms the basis of the crimes for which that person has been surrendered.

2. The Court may request a waiver of the requirements of paragraph 1 from the State which surrendered the person to the Court and, if necessary, the Court shall provide additional information in accordance with article 91. States Parties shall have the authority to provide a waiver to the Court and should endeavour to do so.

Article 102.
Use of terms.

For the purposes of this Statute—

(a) “surrender” means the delivering up of a person by a State to the Court, pursuant to this Statute;

(b) “extradition” means the delivering up of a person by one State to another as provided by treaty, convention or national legislation.

PART X
ENFORCEMENT.

Article 103.
Role of States in enforcement of sentences of imprisonment.

1.—

(a) A sentence of imprisonment shall be served in a State designated by the Court from a list of States which have indicated to the Court their willingness to accept sentenced persons.

(b) At the time of declaring its willingness to accept sentenced persons, a State may attach conditions to its acceptance as agreed by the Court and in accordance with this Part.

2.—

(a) The State of enforcement shall notify the Court of any circumstances, including the exercise of any conditions agreed under paragraph 1, which could materially affect the terms or extent of the imprisonment. The Court shall be given at least 45 days’ notice of any such known or foreseeable circumstances. During this period, the State of enforcement shall take no action that might prejudice its obligations under article 110.

(b) Where the Court cannot agree to the circumstances referred to in subparagraph (a), it shall notify the State of enforcement and proceed in accordance with article 104, paragraph 1.

3. In exercising its discretion to make a designation under paragraph 1, the Court shall take into account the following—

(a) the principle that States Parties should share the responsibility for enforcing sentences of imprisonment, in accordance with principles of equitable distribution, as provided in the Rules of Procedure and Evidence;

(b) the application of widely accepted international treaty standards governing the treatment of prisoners;

(d) the nationality of the sentenced person;

(e) such other factors regarding the circumstances of the crime or the person sentenced, or the effective enforcement of the sentence, as may be appropriate in designating the State of enforcement.

4. If no State is designated under paragraph 1, the sentence of imprisonment shall be served in a prison facility made available by the host State, in accordance with the conditions set out in the headquarters agreement referred to in article 3, paragraph 2. In such a case, the costs arising out of the enforcement of a sentence of imprisonment shall be borne by the Court.

Article 104.
Change in designation of State of enforcement.

1. The Court may, at any time, decide to transfer a sentenced person to a prison of another State.

2. A sentenced person may, at any time, apply to the Court to be transferred from the State of enforcement.

Article 105.
Enforcement of the sentence.

1. Subject to conditions which a State may have specified in accordance with article 103, paragraph 1(b), the sentence of imprisonment shall be binding on the States Parties, which shall in no case modify it.

2. The Court alone shall have the right to decide any application for appeal and revision. The State of enforcement shall not impede the making of any such application by a sentenced person.

Article 106.
Supervision of enforcement of sentences and conditions of imprisonment.

1. The enforcement of a sentence of imprisonment shall be subject to the supervision of the Court and shall be consistent with widely accepted international treaty standards governing treatment of prisoners.

2. The conditions of imprisonment shall be governed by the law of the State of enforcement and shall be consistent with widely accepted international treaty standards governing treatment of prisoners; in no case shall such conditions be more or less favourable than those available to prisoners convicted of similar offences in the State of enforcement.

3. Communications between a sentenced person and the Court shall be unimpeded and confidential.

Article 107.
Transfer of the person upon completion of sentence.

1. Following completion of the sentence, a person who is not a national of the State of enforcement may, in accordance with the law of the State of enforcement, be transferred to a State which is obliged to receive him or her, or to another State which agrees to receive him or her, taking into account any wishes of the person to be transferred to that State, unless the State of enforcement authorises the person to remain in its territory.

2. If no State bears the costs arising out of transferring the person to another State pursuant to paragraph 1, such costs shall be borne by the Court.

3. Subject to the provisions of article 108, the State of enforcement may also, in accordance with its national law, extradite or otherwise surrender the person to a State which has requested the extradition or surrender of the person for purposes of trial or enforcement of a sentence.

Article 108.
Limitation on the prosecution or punishment of other offences.

1. A sentenced person in the custody of the State of enforcement shall not be subject to prosecution or punishment or to extradition to a third State for any conduct engaged in prior to that person’s delivery to the State of enforcement, unless such prosecution, punishment or extradition has been approved by the Court at the request of the State of enforcement.

2. The Court shall decide the matter after having heard the views of the sentenced person.

3. Paragraph 1 shall cease to apply if the sentenced person remains voluntarily for more than 30 days in the territory of the State of enforcement after having served the full sentence imposed by the Court, or returns to the territory of that State after having left it.

Article 109.
Enforcement of fines and forfeiture measures.

1. States Parties shall give effect to fines or forfeitures ordered by the Court under Part VII, without prejudice to the rights of bona fide third parties, and in accordance with the procedure of their national law.

2. If a State Party is unable to give effect to an order for forfeiture, it shall take measures to recover the value of the proceeds, property or assets ordered by the Court to be forfeited, without prejudice to the rights of bona fide third parties.

3. Property, or the proceeds of the sale of real property or, where appropriate, the sale of other property, which is obtained by a State Party as a result of its enforcement of a judgement of the Court shall be transferred to the Court.

Article 110.
Review by the Court concerning reduction of sentence.

1. The State of enforcement shall not release the person before expiry of the sentence pronounced by the Court.

2. The Court alone shall have the right to decide any reduction of sentence, and shall rule on the matter after having heard the person.

3. When the person has served two-thirds of the sentence, or 25 years in the case of life imprisonment, the Court shall review the sentence to determine whether it should be reduced. Such a review shall not be conducted before that time.

4. In its review under paragraph 3, the Court may reduce the sentence if it finds that one or more of the following factors are present—

(a) the early and continuing willingness of the person to cooperate with the Court in its investigations and prosecutions;

(b) the voluntary assistance of the person in enabling the enforcement of the judgements and orders of the Court in other cases, and in particular providing assistance in locating assets subject to orders of fine, forfeiture or reparation which may be used for the benefit of victims; or

(c) other factors establishing a clear and significant change of circumstances sufficient to justify the reduction of sentence, as provided in the Rules of Procedure and Evidence.

5. If the Court determines in its initial review under paragraph 3 that it is not appropriate to reduce the sentence, it shall thereafter review the question of reduction of sentence at such intervals and applying such criteria as provided for in the Rules of Procedure and Evidence.

Article 111.
Escape.

If a convicted person escapes from custody and flees the State of enforcement, that State may, after consultation with the Court, request the person’s surrender from the State in which the person is located pursuant to existing bilateral or multilateral arrangements, or may request that the Court seek the person’s surrender, in accordance with Part IX. It may direct that the person be delivered to the State in which he or she was serving the sentence or to another State designated by the Court.

PART XI
ASSEMBLY OF STATES PARTIES.

Article 112.
Assembly of States Parties.

1. An Assembly of States Parties to this Statute is hereby established. Each State Party shall have one representative in the Assembly who may be accompanied by alternates and advisers. Other States which have signed this Statute or the Final Act may be observers in the Assembly.

2. The Assembly shall—

(a) consider and adopt, as appropriate, recommendations of the Preparatory Commission;

(b) provide management oversight to the Presidency, the Prosecutor and the Registrar regarding the administration of the Court;

(c) consider the reports and activities of the Bureau established under paragraph 3 and take appropriate action in regard thereto;

(d) consider and decide the budget for the Court;

(e) decide whether to alter, in accordance with article 36, the number of judges;

(f) consider pursuant to article 87, paragraphs 5 and 7, any question relating to noncooperation;

(g) perform any other function consistent with this Statute or the Rules of Procedure and Evidence.

3.—

(a) The Assembly shall have a Bureau consisting of a President, two Vice Presidents and 18 members elected by the Assembly for three-year terms.

(b) The Bureau shall have a representative character, taking into account, in particular, equitable geographical distribution and the adequate representation of the principal legal systems of the world.

(c) The Bureau shall meet as often as necessary, but at least once a year. It shall assist the Assembly in the discharge of its responsibilities.

4. The Assembly may establish such subsidiary bodies as may be necessary, including an independent oversight mechanism for inspection, evaluation and investigation of the Court, in order to enhance its efficiency and economy.

5. The President of the Court, the Prosecutor and the Registrar or their representatives may participate, as appropriate, in meetings of the Assembly and of the Bureau.

6. The Assembly shall meet at the seat of the Court or at the Headquarters of the United Nations once a year and, when circumstances so require, hold special sessions. Except as otherwise specified in this Statute, special sessions shall be convened by the Bureau on its own initiative or at the request of one-third of the States Parties.

7. Each State Party shall have one vote. Every effort shall be made to reach decisions by consensus in the Assembly and in the Bureau. If consensus cannot be reached, except as otherwise provided in the Statute—

(a) decisions on matters of substance must be approved by a two-thirds majority of those present and voting provided that an absolute majority of States Parties constitutes the quorum for voting;

(b) decisions on matters of procedure shall be taken by a simple majority of States Parties present and voting.

8. A State Party which is in arrears in the payment of its financial contributions towards the costs of the Court shall have no vote in the Assembly and in the Bureau if the amount of its arrears equals or exceeds the amount of the contributions due from it for the preceding two full years. The Assembly may, nevertheless, permit such a State Party to vote in the Assembly and in the Bureau if it is satisfied that the failure to pay is due to conditions beyond the control of the State Party.

9. The Assembly shall adopt its own rules of procedure.

10. The official and working languages of the Assembly shall be those of the General Assembly of the United Nations.

PART XII
FINANCING.

Article 113.
Financial Regulations.

Except as otherwise specifically provided, all financial matters related to the Court and the meetings of the Assembly of States Parties, including its Bureau and subsidiary bodies, shall be governed by this Statute and the Financial Regulations and Rules adopted by the Assembly of States Parties.

Article 114.
Payment of expenses.

Expenses of the Court and the Assembly of States Parties, including its Bureau and subsidiary bodies, shall be paid from the funds of the Court.

Article 115.
Funds of the Court and of the Assembly of States Parties.

The expenses of the Court and the Assembly of States Parties, including its Bureau and subsidiary bodies, as provided for in the budget decided by the Assembly of States Parties, shall be provided by the following sources—

(a) assessed contributions made by States Parties;

(b) funds provided by the United Nations, subject to the approval of the General Assembly, in particular in relation to the expenses incurred due to referrals by the Security Council.

Article 116.
Voluntary contributions.

Without prejudice to article 115, the Court may receive and utilise, as additional funds, voluntary contributions from Governments, international organisations, individuals, corporations and other entities, in accordance with relevant criteria adopted by the Assembly of States Parties.

Article 117.
Assessment of contributions.

The contributions of States Parties shall be assessed in accordance with an agreed scale of assessment, based on the scale adopted by the United Nations for its regular budget and adjusted in accordance with the principles on which that scale is based.

Article 118.
Annual audit.

The records, books and accounts of the Court, including its annual financial statements, shall be audited annually by an independent auditor.

PART XIII
FINAL CLAUSES.

Article 119.
Settlement of disputes.

1. Any dispute concerning the judicial functions of the Court shall be settled by the decision of the Court.

2. Any other dispute between two or more States Parties relating to the interpretation or application of this Statute which is not settled through negotiations within three months of their commencement shall be referred to the Assembly of States Parties. The Assembly may itself seek to settle the dispute or may make recommendations on further means of settlement of the dispute, including referral to the International Court of Justice in conformity with the Statute of that Court.

Article 120.
Reservations.

No reservations may be made to this Statute.

Article 121.
Amendments.

1. After the expiry of seven years from the entry into force of this Statute, any State Party may propose amendments thereto. The text of any proposed amendment shall be submitted to the Secretary General of the United Nations, who shall promptly circulate it to all States Parties.

2. No sooner than three months from the date of notification, the Assembly of States Parties, at its next meeting, shall, by a majority of those present and voting, decide whether to take up the proposal. The Assembly may deal with the proposal directly or convene a Review Conference if the issue involved so warrants.

3. The adoption of an amendment at a meeting of the Assembly of States Parties or at a Review Conference on which consensus cannot be reached shall require a two-thirds majority of States Parties.

4. Except as provided in paragraph 5, an amendment shall enter into force for all States Parties one year after instruments of ratification or acceptance have been deposited with the Secretary General of the United Nations by seven-eighths of them.

5. Any amendment to articles 5, 6, 7 and 8 of this Statute shall enter into force for those States Parties which have accepted the amendment one year after the deposit of their instruments of ratification or acceptance. In respect of a State Party which has not accepted the amendment, the Court shall not exercise its jurisdiction regarding a crime covered by the amendment when committed by that State Party’s nationals or on its territory.

6. If an amendment has been accepted by seven-eighths of States Parties in accordance with paragraph 4, any State Party which has not accepted the amendment may withdraw from this Statute with immediate effect, notwithstanding article 127, paragraph 1, but subject to article 127, paragraph 2, by giving notice no later than one year after the entry into force of such amendment.

7. The Secretary General of the United Nations shall circulate to all States Parties any amendment adopted at a meeting of the Assembly of States Parties or at a Review Conference.

Article 122.
Amendments to provisions of an institutional nature.

1. Amendments to provisions of this Statute which are of an exclusively institutional nature, namely, article 35, article 36, paragraphs 8 and 9, article 37, article 38, article 39, paragraphs 1 (first two sentences), 2 and 4, article 42, paragraphs 4 to 9, article 43, paragraphs 2 and 3, and articles 44, 46, 47 and 49, may be proposed at any time, notwithstanding article 121, paragraph 1, by any State Party. The text of any proposed amendment shall be submitted to the Secretary General of the United Nations or such other person designated by the Assembly of States Parties who shall promptly circulate it to all States Parties and to others participating in the Assembly.

2. Amendments under this article on which consensus cannot be reached shall be adopted by the Assembly of States Parties or by a Review Conference, by a two-thirds majority of States Parties. Such amendments shall enter into force for all States Parties six months after their adoption by the Assembly or, as the case may be, by the Conference.

Article 123.
Review of the Statute.

1. Seven years after the entry into force of this Statute the Secretary General of the United Nations shall convene a Review Conference to consider any amendments to this Statute. Such review may include, but is not limited to, the list of crimes contained in article 5. The Conference shall be open to those participating in the Assembly of States Parties and on the same conditions.

2. At any time thereafter, at the request of a State Party and for the purposes set out in paragraph 1, the Secretary General of the United Nations shall, upon approval by a majority of States Parties, convene a Review Conference.

3. The provisions of article 121, paragraphs 3 to 7, shall apply to the adoption and entry into force of any amendment to the Statute considered at a Review Conference.

Article 124.
Transitional Provision.

Notwithstanding article 12, paragraphs 1 and 2, a State, on becoming a party to this Statute, may declare that, for a period of seven years after the entry into force of this Statute for the State concerned, it does not accept the jurisdiction of the Court with respect to the category of crimes referred to in article 8 when a crime is alleged to have been committed by its nationals or on its territory. A declaration under this article may be withdrawn at any time. The provisions of this article shall be reviewed at the Review Conference convened in accordance with article 123, paragraph 1.

Article 125.
Signature, ratification, acceptance, approval or accession.

1. This Statute shall be open for signature by all States in Rome, at the headquarters of the Food and Agriculture Organisation of the United Nations, on 17 July 1998. Thereafter, it shall remain open for signature in Rome at the Ministry of Foreign Affairs of Italy until 17 October 1998. After that date, the Statute shall remain open for signature in New York, at United Nations Headquarters, until 31 December 2000.

2. This Statute is subject to ratification, acceptance or approval by signatory States. Instruments of ratification, acceptance or approval shall be deposited with the Secretary General of the United Nations.

3. This Statute shall be open to accession by all States. Instruments of accession shall be deposited with the Secretary General of the United Nations.

Article 126.
Entry into force.

1. This Statute shall enter into force on the first day of the month after the 60th”> day following the date of the deposit of the 60th”> instrument of ratification, acceptance, approval or accession with the Secretary General of the United Nations.

2. For each State ratifying, accepting, approving or acceding to this Statute after the deposit of the 60th”> instrument of ratification, acceptance, approval or accession, the Statute shall enter into force on the first day of the month after the 60th”> day following the deposit by such State of its instrument of ratification, acceptance, approval or accession.

Article 127.
Withdrawal.

1. A State Party may, by written notification addressed to the Secretary General of the United Nations, withdraw from this Statute. The withdrawal shall take effect one year after the date of receipt of the notification, unless the notification specifies a later date.

2. A State shall not be discharged, by reason of its withdrawal, from the obligations arising from this Statute while it was a Party to the Statute, including any financial obligations which may have accrued. Its withdrawal shall not affect any cooperation with the Court in connection with criminal investigations and proceedings in relation to which the withdrawing State had a duty to cooperate and which were commenced prior to the date on which the withdrawal became effective, nor shall it prejudice in any way the continued consideration of any matter which was already under consideration by the Court prior to the date on which the withdrawal became effective.

Article 128.
Authentic texts.

The original of this Statute, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic, shall be deposited with the Secretary General of the United Nations, who shall send certified copies thereof to all States.

IN WITNESS WHEREOF, the undersigned, being duly authorised thereto by their respective Governments, have signed this Statute.

DONE at Rome, this 17th”> day of July 1998.

Schedule 2.
Agreement on the privileges and immunities of the International Criminal Court.

s. 2.

Contents

Article 1. Use of terms.

Article 2. Legal status and juridical personality of the Court.

Article 3. General provisions on privileges and immunities of the Court.

Article 4. Inviolability of the premises of the Court.

Article 5. Flag, emblem and markings.

Article 6. Immunity of the Court, its property, funds and assets.

Article 7. Inviolability of archives and documents.

Article 8. Exemption from taxes, customs duties and import or export restrictions.

Article 9. Reimbursement of duties and/or taxes.

Article 10. Funds and freedom from currency restrictions.

Article 11. Facilities in respect of communications.

Article 12. Exercise of the functions of the Court outside its headquarters.

Article 13. Representatives of States participating in the Assembly and its subsidiary organs and Representatives of intergovernmental organisations.

Article 14. Representatives of States participating in the proceedings of the Court.

Article 15. Judges, Prosecutor, Deputy Prosecutors and Registrar.

Article 16. Deputy Registrar, staff of the Office of the Prosecutor and staff of the Registry.

Article 17. Personnel recruited locally and not otherwise covered by the present Agreement.

Article 18. Counsel and persons assisting defence counsel.

Article 19. Witnesses.

Article 20. Victims.

Article 21. Experts.

Article 22. Other persons required to be present at the seat of the Court.

Article 23. National and permanent residents.

Article 24. Cooperation with the authorities of States Parties.

Article 25. Waiver of privileges and immunities provided for in articles 13 and 14.

Article 26. Waiver of privileges and immunities provided for in articles 15 to 22.

Article 27. Social security.

Article 28. Notification.

Article 29. Laissez-passer.

Article 30. Visas.

Article 31. Settlement of disputes with third parties.

Article 32. Settlement of differences on the interpretation or application of the present Agreement.

Article 33. Applicability of the present Agreement.

Article 34. Signature, ratification, acceptance, approval or accession.

Article 35. Entry into force.

Article 36. Amendments.

Article 37. Denunciation.

Article 38. Depositary.

Article 39. Authentic texts.

Agreement on the Privileges and Immunities of the International Criminal Court

THE STATES PARTIES TO THE PRESENT AGREEMENT,

WHEREAS the Rome Statute of the International Criminal Court adopted on 17 July 1998 by the United Nations Diplomatic Conference of Plenipotentiaries established the International Criminal Court with the power to exercise its jurisdiction over persons for the most serious crimes of international concern;

WHEREAS article 4 of the Rome Statute provides that the International Criminal Court shall have international legal personality and such legal capacity as may be necessary for the exercise of its functions and the fulfilment of its purposes;

WHEREAS article 48 of the Rome Statute provides that the International Criminal Court shall enjoy in the territory of each State Party to the Rome Statute such privileges and immunities as are necessary for the fulfilment of its purposes;

HAVE AGREED AS FOLLOWS:

Article 1.
Use of terms.

For the purposes of the present Agreement—

(a) “The Statute” means the Rome Statute of the International Criminal Court adopted on 17 July 1998 by the United Nations Diplomatic Conference of Plenipotentiares on the Establishment of an International Criminal Court;

(b) “The Court” means the International Criminal Court established by the Statute;

(d) “Representatives of States Parties” means all delegates, deputy delegates, advisers, technical experts and secretaries of delegations;

(e) “Assembly” means the Assembly of States Parties to the Statute;

(f) “Judges” means the Judges of the Court;

(g) “The Presidency” means the organ composed of the President and the First and Second Vice Presidents of the Court;

(h) “Prosecutor” means the Prosecutor elected by the Assembly in accordance with article 42, paragraph 4, of the Statute;

(i) “Deputy Prosecutors” means the Deputy Prosecutors elected by the Assembly in accordance with article 42, paragraph 4, of the Statute;

(j) “Registrar” means the Registrar elected by the Court in accordance with article 43, paragraph 4, of the Statute;

(k) “Deputy Registrar” means the Deputy Registrar elected by the Court in accordance with article 43, paragraph 4, of the Statute;

(l) “Counsel” means defence counsel and the legal representatives of victims;

(m) “Secretary General” means the Secretary General of the United Nations;

(n) “Representatives of intergovernmental organisations” means the executive heads of intergovernmental organisations, including any official acting on his or her behalf;

(o) “Vienna Convention” means the Vienna Convention on Diplomatic Relations of 18 April 1961;

(p) “Rules of Procedure and Evidence” means the Rules of Procedure and Evidence adopted in accordance with article 51 of the Statute.

Article 2.
Legal status and juridical personality of the Court.

The Court shall have international legal personality and shall also have such legal capacity as may be necessary for the exercise of its functions and the fulfilment of its purposes. It shall, in particular, have the capacity to contract, to acquire and to dispose of immovable and movable property, and to participate in legal proceedings.

Article 3.
General provisions on privileges and immunities of the Court.

The Court shall enjoy in the territory of each State Party such privileges and immunities as are necessary for the fulfilment of its purposes.

Article 4.
Inviolability of the premises of the Court.

The premises of the Court shall be inviolable.

Article 5.
Flag, emblem and markings.

The Court shall be entitled to display its flag, emblem and markings at its premises and on vehicles and other means of transportation used for official purposes.

Article 6.
Immunity of the Court, its property, funds and assets.

1. The Court, and its property, funds and assets, wherever located and by whomsoever held, shall be immune from every form of legal process, except insofar as in any particular case the Court has expressly waived its immunity. It is, however, understood that no waiver of immunity shall extend to any measure of execution.

2. The property, funds and assets of the Court, wherever located and by whomsoever held, shall be immune from search, seizure, requisition, confiscation, expropriation and any other form of interference, whether by executive, administrative, judicial or legislative action.

3. To the extent necessary to carry out the functions of the Court, the property, funds and assets of the Court, wherever located and by whomsoever hold, shall be exempt from restrictions, regulations, controls or moratoria of any nature.

Article 7.
Inviolability of archives and documents.

The archives of the Court, and all papers and documents in whatever form, and materials being sent to or from the Court, held by the Court or belonging to it, wherever located and by whomsoever held, shall be inviolable. The termination or absence of such inviolability shall not affect protective measures that the Court may order pursuant to the Statute and the Rules of Procedure and Evidence with regard to documents and materials made available to or used by the Court.

Article 8.
Exemption from taxes, customs duties and import or export restrictions.

1. The Court, its assets, income and other property and its operations and transactions shall be exempt from all direct taxes, which include, inter alia, income tax, capital tax and corporation tax, as well as direct taxes levied by local and provincial authorities. It is understood, however, that the Court shall not claim exemption from taxes which are, in fact, no more than charges for public utility services provided at a fixed rate according to the amount of services rendered and which can be specifically identified, described and itemised.

2. The Court shall be exempt from all customs duties, import turnover taxes and prohibitions and restrictions on imports and exports in respect of articles imported or exported by the Court for its official use and in respect of its publications.

3. Goods imported or purchased under such an exemption shall not be sold or otherwise disposed of in the territory of a State Party, except under conditions agreed with the competent authorities of that State Party.

Article 9.
Reimbursement of duties and/or taxes.

1. The Court shall not, as a general rule, claim exemption from duties and/or taxes which are included in the price of movable and immovable property and taxes paid for services rendered Nevertheless, when the Court for its official use makes major purchases of property and goods or services on which identifiable duties and/or taxes are charged or are chargeable, States Parties shall make appropriate administrative arrangements for the exemption of such charges or reimbursement of the amount of duty and/or tax paid.

2. Goods purchased under such an exemption or reimbursement shall not be sold or otherwise disposed of, except in accordance with the conditions laid down by the State Party which granted the exemption or reimbursement. No exemption or reimbursement shall be accorded in respect of charges for public utility services provided to the Court.

Article 10.
Funds and freedom from currency restrictions.

1. Without being restricted by financial controls, regulations or financial moratoriums of any kind, while carrying out its activities—

(a) the Court may hold funds, currency of any kind or gold and operate accounts in any currency;

(b) the Court shall be free to transfer its funds, gold or its currency from one country to another or within any country and to convert any currency held by it into any other currency;

(c) the Court may receive, hold, negotiate, transfer, convert or otherwise deal with bonds and other financial securities;

(d) the Court shall enjoy treatment not less favourable than that accorded by the State Party concerned to any intergovernmental organisation or diplomatic mission in respect of rates of exchange for its financial transactions.

2. In exercising its rights under paragraph 1, the Court shall pay due regard to any representations made by any State Party insofar as it is considered that effect can be given to such representations without detriment to the interests of the Court.

Article 11.
Facilities in respect of communications.

1. The Court shall enjoy in the territory of each State Party for the purposes of its official communications and correspondence treatment not less favourable than that accorded by the State Party concerned to any intergovernmental organisation or diplomatic mission in the matter of priorities, rates and taxes applicable to mail and the various forms of communication and correspondence.

2. No censorship shall be applied to the official communications or correspondence of the Court.

3. The Court may use all appropriate means of communication, including electronic means of communication, and shall have the right to use codes or cipher for its official communications and correspondence. The official communications and correspondence of the Court shall be inviolable.

4. The Court shall have the right to dispatch and receive correspondence and other materials or communications by courier or in sealed bags, which shall have the same privileges, immunities and facilities as diplomatic couriers and bags.

5. The Court shall have the right to operate radio and other telecommunication equipment on any frequencies allocated to it by the States Parties in accordance with their national procedures. The States Parties shall endeavour to allocate to the Court, to the extent possible, frequencies for which it has applied.

Article 12.
Exercise of the functions of the Court outside its headquarters.

In the event that the Court, pursuant to article 3, paragraph 3, of the Statute, considers it desirable to sit elsewhere than at its headquarters at The Hague in the Netherlands, the Court may conclude with the State concerned an arrangement concerning the provision of the appropriate facilities for the exercise of its functions.

Article 13.
Representatives of States participating in the Assembly and its subsidiary organs and Representatives of intergovernmental organisations.

1. Representatives of States Parties to the Statute attending meetings of the Assembly and its subsidiary organs, representatives of other States that may be attending meetings of the Assembly and its subsidiary organs as observers in accordance with article 112, paragraph 1, of the Statute, and representatives of States and of intergovernmental organisations invited to meetings of the Assembly and its subsidiary organs shall, while exercising their official functions and during their journey to and from the place of meeting, enjoy the following privileges and immunities—

(a) immunity from personal arrest or detention;

(b) immunity from legal process of every kind in respect of words spoken or written, and all acts performed by them in their official capacity; such immunity shall continue to be accorded notwithstanding that the persons concerned may have ceased to exercise their functions as representatives;

(d) the right to use codes or cipher, to receive papers and documents or correspondence by courier or in sealed bags and to receive and send electronic communications;

(e) exemption from immigration restrictions, alien registration requirements and national service obligations in the State Party they are visiting or through which they are passing in the exercise of their functions;

(f) the same privileges in respect of currency and exchange facilities as are accorded to representatives of foreign Governments on temporary official missions;

(g) the same immunities and facilities in respect of their personal baggage as are accorded to diplomatic envoys under the Vienna Convention;

(h) the same protection and repatriation facilities as are accorded to diplomatic agents in time of international crisis under the Vienna Convention;

(i) such other privileges, immunities and facilities not inconsistent with the foregoing as diplomatic agents enjoy, except that they shall have no right to claim exemption from customs duties on goods imported (otherwise as part of their personal baggage) or from excise duties or sales taxes.

2. Where the incidence of any form of taxation depends upon residence, periods during which the representatives described in paragraph 1 attending the meetings of the Assembly and its subsidiary organs are present in a State Party for the discharge of their duties shall not be considered as periods of residence.

3. The provisions of paragraphs 1 and 2 of this article are not applicable as between a representative and the authorities of the State Party of which he or she is a national or of the State Party or intergovernmental organisation of which he or she is or has been a representative.

Article 14.
Representatives of States participating in the proceedings of the Court.

Representatives of States participating in the proceedings of the Court shall, while exercising their official functions, and during their journey to and from the place of the proceedings, enjoy the privileges and immunities referred to in article 13.

Article 15.
Judges, Prosecutor, Deputy Prosecutors and Registrar.

1. The Judges, the Prosecutor, the Deputy Prosecutors and the Registrar shall, when engaged on or with respect to the business of the Court, enjoy the same privileges and immunities as are accorded to heads of diplomatic missions and shall, after the expiry of their terms of office, continue to be accorded immunity from legal process of every kind in respect of words which had been spoken or written and acts which had been performed by them in their official capacity.

2. The Judges, the Prosecutor, the Deputy Prosecutors and the Registrar and members of their families forming part of their households shall be accorded every facility for leaving the country where they may happen to be and for entering and leaving the country where the Court is sitting. On journeys in conjunction with the exercise of their functions, the Judges, the Prosecutor, the Deputy Prosecutors and the Registrar shall in all States Parties through which they may have to pass enjoy all the privileges, immunities and facilities granted by States Parties to diplomatic agents in similar circumstances under the Vienna Convention.

3. If a Judge, the Prosecutor, a Deputy Prosecutor or the Registrar, for the purpose of holding himself or herself at the disposal of the Court, resides in any State Party other than that of which he or she is a national or permanent resident, he or she shall, together with family members forming part of his or her household, be accorded diplomatic privileges, immunities and facilities during the period of residence.

4. The Judges, the Prosecutor, the Deputy Prosecutors and the Registrar and members of their families forming part of their households shall be accorded the same repatriation facilities in time of international crisis as are accorded to diplomatic agents under the Vienna Convention.

5. Paragraphs 1 to 4 of this article shall apply to Judges of the Court even after their term of office has expired if they continue to exercise their functions in accordance with article 36, paragraph 10, of the Statute.

6. The salaries, emoluments and allowances paid to the Judges, the Prosecutor, the Deputy Prosecutors and the Registrar by the Court shall be exempt from taxation. Where the incidence of any form of taxation depends upon residence, periods during which the Judges, the Prosecutor, the Deputy Prosecutors and the Registrar are present in a State Party for the discharge of their functions shall not be considered as periods of residence for purposes of taxation. States Parties may take these salaries, emoluments and allowances into account for the purpose of assessing the amount of taxes to be applied to income from other sources.

7. States Parties shall not be obliged to exempt from income tax pensions or annuities paid to former Judges, Prosecutors and Registrars and their dependants.

Article 16.
Deputy Registrar, staff of the Office of the Prosecutor and staff of the Registry.

1. The Deputy Registrar, the staff of the Office of the Prosecutor and the staff of the Registry shall enjoy such privileges, immunities and facilities as are necessary for the independent performance of their functions. They shall be accorded—

(a) immunity from personal arrest or detention and from seizure of their personal baggage;

(b) immunity from legal process of every kind in respect of words spoken or written and all acts performed by them in their official capacity, which immunity shall continue to be accorded even after termination of their employment with the Court;

(d) exemption from taxation on the salaries, emoluments and allowances paid to them by the Court. States Parties may take these salaries, emoluments and allowances into account for the purpose of assessing the amount of taxes to be applied to income from other sources;

(e) exemption from national service obligations;

(f) together with members of their families forming part of their household, exemption from immigration restrictions or alien registration;

(g) exemption from inspection of personal baggage, unless there are serious grounds for believing that the baggage contains articles the import or export of which is prohibited by the law or controlled by the quarantine regulations of the State Party concerned; an inspection in such a case shall be conducted in the presence of the official concerned;

(h) the same privileges in respect of currency and exchange facilities as are accorded to the officials of comparable rank of diplomatic missions established in the State Party concerned;

(i) together with members of their families forming part of their household, the same repatriation facilities in time of international crisis as are accorded to diplomatic agents under the Vienna Convention;

(j) the right to import free of duties and taxes, except payments for services, their furniture and effects at the time of first taking up post in the State Party in question and to reexport their furniture and effects free of duties and taxes to their country of permanent residence.

2. States Parties shall not be obliged to exempt from income tax pensions or annuities paid to former Deputy Registrars, members of the staff of the Office of the Prosecutor, members of the staff of the Registry and their dependants.

Article 17.
Personnel recruited locally and not otherwise covered by the present Agreement.

Personnel remitted by the Court locally and not otherwise recovered by the present Agreement shall be accorded immunity from legal process in respect of words spoken or written and all acts performed by them in their official capacity for the Court. Such immunity shall continue to be accorded after termination of employment with the Court for activities carried out on behalf of the Court. During their employment, they shall also be accorded such other facilities as may be necessary for the independent exercise of their functions for the Court.

Article 18.
Counsel and persons assisting defence counsel.

1. Counsel shall enjoy the following privileges, immunities and facilities to the extent necessary for the independent performance of his or her functions, including the time spent on journeys, in collection with the performance of his or her functions and subject to production of the certificate referred to in paragraph 2 of this article—

(a) immunity from personal arrest or detention and from seizure of his or her personal baggage;

(b) immunity from legal process of every kind in respect of words spoken or written and all acts performed by him or her in official capacity, which immunity shall continue to be accorded even after he or she has ceased to exercise his or her functions;

(c) inviolability of papers and documents in whatever form and materials relating to the exercise of his or her functions;

(d) for the purposes of communications in pursuance of his or her functions as Counsel, the right to receive and send papers and documents in whatever form;

(e) exemption from immigration restrictions or alien registration;

(f) exemption from inspection of personal baggage, unless there are serious grounds for believing that the baggage contains articles the import or export of which is prohibited by law or controlled by the quarantine regulations of the State Party concerned; an inspection in such a case shall be conducted in the presence of the Counsel concerned;

(g) the same privileges in respect of currency and exchange facilities as are accorded to representatives of foreign Governments on temporary official missions;

(h) the same repatriation facilities in time of international crisis as are accorded to diplomatic agents under the Vienna Convention.

2. Upon appointment of Counsel in accordance with the Statute, the Rules of Procedure and Evidence and the Regulations of the Court, Counsel shall be provided with a certificate under the signature of the Registrar for the period required for the exercise of his or her functions. Such certificate shall be withdrawn if the power or mandate is terminated before the expiry of the certificate.

3. Where the incidence of any form of taxation depends upon residence, periods during which Counsel is present in a State Party for the discharge of his or her functions shall not be considered as periods of residence.

4. The provisions of this article shall apply mutatis mutandis to persons assisting defence counsel in accordance with rule 22 of the Rules of Procedure and Evidence.

Article 19.
Witnesses.

1. Witnesses shall enjoy the following privileges, immunities and facilities to the extent necessary for their appearance before the Court for purposes of giving evidence, including the time spent on journeys in connection with their appearance before the Court, subject to the production of the document referred to in paragraph 2 of this article—

(a) immunity from personal arrest or detention;

(b) without prejudice to subparagraph (d) below, immunity from seizure of their personal baggage unless there are serious grounds for believing that the baggage contains articles the import or export of which is prohibited by law or controlled by the quarantine regulations of the State Party concerned;

(c) immunity from legal process of every kind in respect of words spoken or written and all acts performed by them in the course of their testimony, which immunity shall continue to be accorded even after their appearance and testimony before the Court;

(d) inviolability of papers and documents in whatever form and materials relating to their testimony;

(e) for purposes of their communications with the Court and Counsel in connection with their testimony, the right to receive and send papers and documents in whatever form;

(f) exemption from immigration restrictions or alien registration when they travel for purposes of their testimony;

(g) the same repatriation facilities in time of international crisis as are accorded to diplomatic agents under the Vienna Convention.

2. Witnesses who enjoy the Privileges immunities and facilities referred to in paragraph 1 of this article shall be provided by the Court with a document certifying that their appearance is required by the Court and specifying a time period during which such appearance is necessary.

Article 20.
Victims.

1. Victims participating in the proceedings in accordance with rules 89 to 91 of the Rules of Procedure and Evidence shall enjoy the following privileges, immunities and facilities to the extent necessary for their appearance before the Court, including the time spent on journeys in connection with their appearance before the Court, subject to the production of the document referred to in paragraph 2 of this article—

(a) immunity from personal arrest or detention;

(b) immunity from seizure, of their personal baggage unless there are serious grounds for believing that the baggage contains articles the import or export of which is prohibited by law or controlled by the quarantine regulations of the State Party concerned;

(c) immunity from legal process of every kind in respect of words spoken or written and all acts performed by them in the course of their appearance before the Court, which immunity shall continue to be accorded even after their appearance before the Court;

(d) exemption from immigration restrictions or alien registration when they travel to and from the Court for purposes of their appearance.

2. Victims participating in the proceedings in accordance with rules 89 to 91 of the Rules of Procedure and Evidence who enjoy the privileges, immunities and facilities referred to in paragraph 1 of this article shall be provided by the Court with a document certifying their participation in the proceedings of the Court and specifying a time period for that participation.

Article 21.
Experts.

1. Experts performing functions for the Court shall be accorded the following privileges, immunities and facilities to the extent necessary for the independent exercise of their functions, including the time spent on journeys in connection with their functions, subject to production of the document referred to in paragraph 2 of this article—

(a) immunity from personal arrest or detention and from seizure of their personal baggage;

(b) immunity from legal process of every kind in respect of words spoken or written and all acts performed by them in the course of the performance of their functions for the Court, which immunity shall continue to be accorded even after the termination of their functions;

(d) for the purposes of their communications with the Court, the right to receive and send papers and documents in whatever form and materials relating to their functions for the Court by courier or in sealed bags;

(e) exemption from inspection of personal baggage, unless there are serious grounds for believing that the baggage contains articles the import or export of which is prohibited by law or controlled by the quarantine regulations of the State Party concerned; an inspection in such a case shall be conducted in the presence of the expert concerned;

(f) the same privileges in respect of currency and exchange facilities as are accorded to representatives of foreign Governments on temporary official missions;

(g) the same repatriation facilities in time of international crisis as are accorded to diplomatic agents under the Vienna Convention;

(h) exemption from immigration restrictions or alien registration in relation to their functions as specified in the document referred to in paragraph 2 of this article.

2. Experts who enjoy the privileges, immunities and facilities referred to in paragraph 1 of this article shall be provided by the Court with a document certifying that they are performing functions for the Court and specifying a time period for which their functions will last.

Article 22.
Other persons required to be present at the seat of the Court.

1. Other persons required to be present at the seat of the Court shall, to the extent necessary for their presence at the seat of the Court, including the time spent on journeys in collection with their presence, be accorded the privileges, immunities and facilities provided for in article 20, paragraph 1, subparagraphs (a) to (d), of the present Agreement, subject to production of the document referred to in paragraph 2 of this article.

2. Other persons required to be present at the seat of the Court shall be provided by the Court with a document certifying that their presence is required at the seat of the Court and specifying a time period during which such presence is necessary.

Article 23.
National and permanent residents.

At the time of signature, ratification, acceptance, approval or accession, any State may declare that—

(a) without prejudice to paragraph 6 of article 15 and paragraph 1(d) of article 16, a person referred to in articles 15, 16, 18, 19 and 21 shall, in the territory of the State Party of which he or she is a national or permanent resident, enjoy only the following privileges and immunities to the extent necessary for the independent performance of his or her functions or his or her appearance or testimony before the Court—

(i) immunity from personal arrest and detention;

(ii) immunity from legal process of every kind in respect of words spoken or written and all acts performed by that person in the performance of his or her functions for the Court or in the course of his or her appearance or testimony, which immunity shall continue to be accorded even after the person has ceased to exercise his or her functions for the Court or his or her appearance or testimony before it;

(iii) inviolability of papers and documents in whatever form and materials relating to the exercise of his or her functions for the Court or his or her appearance or testimony before it;

(iv) for the purposes of their communications with the Court and for a person referred to in article 19, with his or her Counsel in connection with his or her testimony, the right to receive and send papers in whatever form;

(b) a person referred to in articles 20 and 22 shall, in the territory of the State Party of which he or she is a national or permanent resident, enjoy only the following privileges and immunities to the extent necessary for his or her appearance before the Court—

(i) immunity from personal arrest and detention;

(ii) immunity from legal process in respect of words spoken or written and all acts performed by that person in the course of his or her appearance before the Court, which immunity shall continue to be accorded even after his or her appearance before the Court.

Article 24.
Cooperation with the authorities of States Parties.

1. The Court shall cooperate at all times with the appropriate authorities of States Parties to facilitate the enforcement of their laws and to prevent the occurrence of any abuse in connection with the privileges, immunities and facilities referred to in the present Agreement.

2. Without prejudice to their privileges and immunities, it is the duty of all persons enjoying privileges and immunities under the present Agreement to respect the laws and regulations of the State Party in whose territory they may be on the business of the Court or through whose territory they may pass on such business. They also have a duty not to interfere in the internal affairs or that State.

Article 25.
Waiver of privileges and immunities provided for in articles 13 and 14.

Privileges and immunities provided for in articles 13 and 14 of the present Agreement are accorded to the representatives of States and intergovernmental organisations not for the personal benefit of the individuals themselves, but in order to safeguard the independent exercise of their functions in connection with the work of the Assembly, its subsidiary organs and the Court. Consequently, States Parties not only have the right but are under a duty to waive the privileges and immunities of their representatives in any case where, in the opinion of those States, they would impede the course of justice and can be waived without prejudice to the purpose for which the privileges and immunities are accorded. States not party to the present Agreement and intergovernmental organisations are granted the privileges and immunities provided for in articles 13 and 14 of the present Agreement on the understanding that they undertake the same duty regarding waiver.

Article 26.
Waiver of privileges and immunities provided for in articles 15 to 22.

1. The privileges and immunities provided for in articles 15 to 22 of the present Agreement are granted in the interests of the good administration of justice and not for the personal benefit of the individuals themselves. Such privileges and immunities may be waived in accordance with article 48, paragraph 5, of the Statute and the provisions of this article and there is a duty to do so in any particular case where they would impede the course of justice and can be waived without prejudice to the purpose for which they are accorded.

2. The privileges and immunities may be waived—

(a) in the case of a Judge or the Prosecutor, by an absolute majority of the Judges;

(b) in the case of the Registrar, by the Presidency;

(d) in the case of the Deputy Registrar and the staff of the Registry, by the Registrar;

(e) in the case of personnel referred to in article 17, by the head of the organ of the Court employing such personnel;

(f) in the case of Counsel and persons assisting defence counsel, by the Presidency;

(g) in the case of witnesses and victims, by the Presidency;

(h) in the case of experts, by the head of the organ of the Court appointing the expert;

(i) in the case of other persons required to be present at the seat of the Court, by the Presidency.

Article 27.
Social security.

From the date on which the Court establishes a social security scheme, the persons referred to in articles 15, 16 and 17 shall, with respect to services rendered for the Court, be exempt from all compulsory contributions to national social security schemes.

Article 28.
Notification.

The Registrar shall communicate periodically to all States Parties the categories and names of the Judges, the Prosecutor, the Deputy Prosecutors, the Registrar, the Deputy Registrar, the staff of the Office of the Prosecutor, the staff of the Registry and Counsel to whom the provisions of the present Agreement apply. The Registrar shall also communicate to all States Parties information on any change in the status of these persons.

Article 29.
Laissez-passer.

The States Parties shall recognise and accept the United Nations laissez-passer or the travel document issued by the Court to the Judges, the Prosecutor, the Deputy Prosecutors, the Registrar, the Deputy Registrar, the staff of the Office of the Prosecutor and the staff of the Registry as valid travel documents.

Article 30.
Visas.

Applications for visas or entry/exit permits, where required, from all persons who are holders of the United Nations laissez-passer or of the travel document issued by the Court, and also from persons referred to in articles 18 to 22 of the present Agreement who have a certificate issued by the Court confirming that they are travelling on the business of the Court, shall be dealt with by the States Parties as speedily as possible and granted free of charge.

Article 31.
Settlement of disputes with third parties.

The Court shall, without prejudice to the powers and responsibilities of the Assembly under the Statute, make provisions for appropriate modes of settlement of—

(a) disputes arising out of contracts and other disputes of a private law character to which the Court is a party;

(b) disputes involving any person referred to in the present Agreement who, by reason of his or her official position or function in connection with the Court, enjoys immunity, if such immunity has not been waived.

Article 32.
Settlement of differences on the interpretation or application of the present Agreement.

1. All differences arising out of the interpretation or application of the present Agreement between two or more States Parties or between the Court and a State Party shall be settled by consultation, negotiation or other agreed mode of settlement.

2. If the difference is not settled in accordance with paragraph 1 of this article within three months following a written request by one of the parties to the difference, it shall, at the request of either party, be referred to an arbitral tribunal according to the procedure set forth in paragraphs 3 to 6 of this article.

3. The arbitral tribunal shall be composed of three members: one to be chosen by each party to the difference and the third, who shall be the chairman of the tribunal, to be chosen by the other two members. If either party has failed to make its appointment of a member of the tribunal within two months of the appointment of a member by the other party, that other party may invite the President of the International Court of Justice to make such appointment. Should the first two members fail to agree upon the appointment of the chairman of the tribunal within two months following their appointment, either party may invite the President of the International Court of Justice to choose the chairman.

4. Unless the parties to the difference otherwise agree, the arbitral tribunal shall determine its own procedure and the expenses shall be borne by the parties as assessed by the tribunal.

5. The arbitral tribunal, which shall decide by a majority of votes, shall reach a decision on the difference on the basis of the provisions of the present Agreement and the applicable rules of international law. The decision of the arbitral tribunal shall be final and binding on the parties to the difference.

6. The decision of the arbitral tribunal shall be communicated to the parties to the difference, to the Registrar and to the Secretary General.

Article 33.
Applicability of the present Agreement.

The present Agreement is without prejudice to relevant rules of international law, including international humanitarian law.

Article 34.
Signature, ratification, acceptance, approval or accession.

1. The present Agreement shall be open for signature by all States from 10 September 2002 until 30 June 2004 at United Nations Headquarters in New York.

2. The present Agreement is subject to ratification, acceptance or approval by signatory States. Instruments of ratification, acceptance or approval shall be deposited with the Secretary General.

3. The present Agreement shall remain open for accession by all States. The instruments of accession shall be deposited with the Secretary General.

Article 35.
Entry into force.

1. The present Agreement shall enter into force 30 days after the date of deposit with the Secretary General of the 10th “>instrument of ratification, acceptance, approval or accession.

2. For each State ratifying, accepting, approving or acceding to the present Agreement after the deposit of the 10th “>instrument of ratification, acceptance, approval or accession, the Agreement shall enter into force on the 13th “>day following the deposit with the Secretary General of its instrument of ratification, acceptance, approval or accession.

Article 36.
Amendments.

1. Any State Party may, by written communication addressed to the Secretariat of the Assembly, propose amendments to the present Agreement. The Secretariat shall circulate such communication to all States Parties and the Bureau of the Assembly with a request that States Parties notify the Secretariat whether they favour a Review Conference of States Parties to discuss the proposal.

2. If, within three months from the date of circulation by the Secretariat of the Assembly, a majority of States Parties notify the Secretariat that they favour a Review Conference, the Secretariat shall inform the Bureau of the Assembly with a view to convening such a Conference in connection with the next regular or special session of the Assembly.

3. The adoption of an amendment on which consensus cannot be reached shall require a two-thirds majority of States Parties present and voting, provided that a majority of States Parties is present.

4. The Bureau of the Assembly shall immediately notify the Secretary General of any amendment that has been adopted by the States Parties at a Review Conference. The Secretary General shall circulate to all States Parties and signatory States any amendment adopted at a Review Conference.

5. An amendment shall enter into force for States Parties which have ratified or accepted the amendment 60 days after two-thirds of the States which were Parties at the date of adoption of the amendment have deposited instruments of ratification or acceptance with the Secretary General.

6. For each State Party ratifying or accepting an amendment after the deposit of the required number of instruments of ratification or acceptance, the amendment shall enter into force on the 16th “>day following the deposit of its instrument of ratification or acceptance.

7. A State which becomes a Party to the present Agreement after the entry into force of an amendment in accordance with paragraph 5 shall, failing an expression of different intention by that State—

(a) be considered a Party to the present Agreement as so amended; and

(b) be considered a Party to the unamended Agreement in relation to any State Party not bound by the amendment.

Article 37.
Denunciation.

1. A State Party may, by written notification addressed to the Secretary General, denounce the present Agreement. The denunciation shall take effect one year after the date of receipt of the notification, unless the notification specifies a later date.

2. The denunciation shall not in any way affect the duty of any State Party to fulfill any obligation embodied in the present Agreement to which it would be subject under international law independently of the present Agreement.

Article 38.
Depositary.

The Secretary General shall be the depositary of the present Agreement.

Article 39.
Authentic texts.

The original of the present Agreement, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic, shall be deposited with the Secretary General.

IN WITNESS THEREOF, the undersigned, being duly authorised thereto, have signed the present Agreement.

History

Legislation

NumberAct11/2010

Cross References

Extradition Act, Cap. 117.

Geneva Conventions Act, Cap. 363.

Magistrates Courts Act, Cap. 16.

Penal Code Act Cap. 120.

Prisons Act, Cap. 304.

Trial on Indictments Act, Cap. 23.

Uganda Citizenship and Immigration Control Act, Cap. 66.

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