International Criminal Court ICC-ASP/15/10 Distr.: General 17 August 2016 Original: English Assembly of States Parties Fifteenth session The Hague, 16-24 November 2016 Proposed Programme Budget for 2017 of the International Criminal Court 10-E-170816 ICC-ASP/15/10 Contents Paragraphs Page List of abbreviations and acronyms ...................................................................................................................................... ................................................ 4 I. Overview of proposed programme budget 2017, budget priorities and judicial assumptions................................... 1-59 7 A. B. C. D. E. II. A. B. III. A. Introduction .................................................................................................................................................... 1-5 7 High-level strategic budget priorities for 2017 .............................................................................................. 6-35 8 2017 judicial assumptions and operating environment .................................................................................. 36-43 13 Budget process ............................................................................................................................................... 44-55 14 Synergies ........................................................................................................................................................ 56-59 15 Situations under preliminary examination...................................................................................................... 60-66 16 Situations under investigation and cases before the Court ............................................................................. 67-147 17 Major Programme I: Judiciary ....................................................................................................................... 148-217 28 1. 2. 3. B. 1. Programme 1100: The Presidency ...................................................................................................... 150-160 30 Programme 1200: Chambers............................................................................................................... 161-206 34 Programme 1300: Liaison Offices ...................................................................................................... 207-217 43 Programme 1100: Immediate Office of the Prosecutor....................................................................... 248-307 52 (a) (b) 2. 3. 4. C. 1. 2. 3. 4. D. E. F. G. H. I. IV. Sub-programme 2110: Immediate Office of the Prosecutor - Legal Advisory Section ..................................................................................................................... 248-274 52 Sub-programme 2120: Services Section .................................................................................. 275-307 56 Foreward by the Principals of the International Criminal Court........................................................................................... ................................................ 6 The Court in 2017 - Preliminary examinations, situations and cases before the Court ............................................. 60-147 16 Proposed Programme Budget for 2017...................................................................................................................... 148-756 28 Major Programme II: Office of the Prosecutor .............................................................................................. 218-396 46 Programme 2200: Jurisdiction, Complementarity and Cooperation Division (JCCD) ................................................................................................................................................ 308-322 62 Programme 2300: Investigation Division ........................................................................................... 323-366 65 Programme 2400: Prosecution Division ............................................................................................. 367-396 73 Programme 3100: Office of the Registrar ........................................................................................... 428-448 85 Programme 3200: Division of Management Services......................................................................... 449-502 89 Programme 3300: Division of Judicial Services ................................................................................. 503-577 96 Programme 3800: Division of External Operations ............................................................................ 578-649 107 Major Programme III: Registry...................................................................................................................... 397-649 78 Major Programme IV: Secretariat of the Assembly of States Parties............................................................. 650-681 118 Major Programme V: Premises ...................................................................................................................... 682-686 126 Major Programme VI: Secretariat of the Trust Fund for Victims .................................................................. 687-721 127 Major Programme VII-2: Permanent Premises Project - Host State Loan ..................................................... 722-731 133 Major Programme VII-5: Independent Oversight Mechanism....................................................................... 732-741 135 Major Programme VII-6: Office of Internal Audit......................................................................................... 742-756 137 1. Programme 3100: Office of the Registrar ........................................................................................... 757-760 140 (a) (b) 2. (a) (b) (c) (d) Sub-programme 3110: Immediate Office of the Registrar ...................................................... 757-758 140 Sub-programme 3130: Legal Office ........................................................................................ 759-760 141 Sub-programme 3210: Office of the Director of DMS............................................................ 761-763 142 Sub-programme 3220: Human Resources Section .................................................................. 764-765 144 Sub-programme 3230: Budget Section.................................................................................... 766-767 145 Sub-programme 3240: Finance Section................................................................................... 768-769 146 Major Programme III: Registry ................................................................................................................................. 757-804 140 Programme 3200: Division of Management Services (DMS) ........................................................... 761-774 142 2 10-E-170816 ICC-ASP/15/10 Paragraphs Page (e) (f) 3. (a) (b) (c) (d) (e) (f) (g) (h) (i) 4. (a) (b) (c) (d) (e) I. Sub-programme 3250: General Services Section .................................................................... 770-772 147 Sub-programme 3290: Security and Safety Section ................................................................ 773-774 149 Sub-programme 3310: Office of the Director of DJS.............................................................. 775-776 150 Sub-programme 3320: Court Management Section................................................................. 777-778 151 Sub-programme 3325: Information Management Services Section ........................................ 779-780 152 Sub-programme 3330: Detention Section................................................................................ 781-782 154 Sub-programme 3340: Language Services Section ................................................................. 783-785 155 Sub-programme 3360: Victims Participation and Reparations Section................................... 786-787 157 Sub-programme 3370: Office of Public Counsel for the Defence ........................................... 788-789 158 Sub-programme 3380: Office of Public Counsel for Victims ................................................. 790-791 159 Sub-programme 3390: Counsel Support Section..................................................................... 792-793 160 Sub-programme 3810: Office of the Director of DEO ............................................................ 794-795 161 Sub-programme 3820 External Operations Support Section ................................................... 796-797 162 Sub-programme 3830: Victims Witnesses Section.................................................................. 798-799 163 Sub-programme 3840: Public Information and Outreach Section ........................................... 800-801 164 Sub-programme 3850: Field Offices ....................................................................................... 802-804 165 Programme 3300: Division of Judicial Services (DJS) ...................................................................... 775-793 150 Programme 3800: Division of External Operations (DEO) ............................................................... 794-804 161 Annexes................................................................................................................................................................................ ................ 166 Draft Resolution of the Assembly of States Parties on the proposed programme budget for 2017, the Working Capital Fund for 2017, the scale of assessment for the apportionment of expenses of the International Criminal Court, financing appropriations for 2017 and the Contingency Fund ........................ ................ 166 Organizational structure of the Court........................................................................................................................ ................ 170 Assumptions and parameters for the 2016 proposed programme budget.................................................................. ................ 171 List of potential developments which could impact on the 2017 proposed programme budget ............................... ................ 172 II. III. IV. V(a). List of strategic goals of the International Criminal Court (2016-2018)................................................................... ................ 173 V(b). List of strategic goals of the OTP Strategic Plan (2016-2018) ................................................................................. ................ 174 V(c). OTP objectives, performance indicators and targets 2017........................................................................................ ................ 175 V(d). Judiciary strategic goals ............................................................................................................................................ ................ 177 V(e). OTP strategic goals ................................................................................................................................................... ................ 178 V(f). Registry strategic goals ............................................................................................................................................. ................ 183 VI. Staffing information:................................................................................................................................................. ................ 189 (a) (b) (c) (d) (e) (f) (g) VII. IX. Proposed Court staffing in 2017 by major programme .................................................................................. ................ 189 List of Reclassifications 2017 ........................................................................................................................ ................ 189 List of conversions 2017 ................................................................................................................................ ................ 189 List of conversions/reclassifications 2017...................................................................................................... ................ 190 Judges' salary and entitlements for 2017 ....................................................................................................... ................ 191 Comparison of ICC judges'salary with judges of other international tribunal ............................................... ................ 191 Standard salary costs for 2017 - Professional and General Service staff (at Headquarters)........................... ................ 192 Proposed budget for 2017 for the African Union Liaison Office (AULO)................................................................ ................ 193 2017 estimated income statements for Least Developed Countries Trust Fund ........................................................ ................ 194 VIII. Income projections 2011-2017 .................................................................................................................................. ................ 194 X(a). OTP travel claims ...................................................................................................................................................... ................ 195 X(b). OTP resource allocation to cases 2016 compared to 2017 ........................................................................................ ................ 196 10-E-170816 3 ICC-ASP/15/10 List of abbreviations and acronyms 2gv 3gv Arc ASG ASP AU AULO AV BS CAC CAR CBF CIV CMS CoCo CSS D DER DJS DMS DRC DS DSA DSS DVC ECOS ERFCS FO FS FSS FTE GAU GCDN GEO GS GS-OL GS-PL GSS GTA HQ HR HRS IAS IATN IBA ICC ICCPP ICS ICT ICTY IEU IGO ILOAT 4 Non-integrated user equipment Integrated user equipment Headquarters building at Maanweg, The Hague, Netherlands Assistant Secretary-General Assembly of States Parties African Union African Union Liaison Office Audio-visual Budget Section Classification Advisory Committee Central African Republic (Bangui) Committee on Budget and Finance Côte d'Ivoire (Abidjan) Court Management Section Coordination Council Court Services Section Director Division of External Relations Division of Judicial Services (formerly DCS:Division of Court Services) Division of Management Services (formerly CASD: Common Admin. Services Div.) Democratic Republic of the Congo (Kinshasa and Bunia) Detention Section Daily subsistence allowance Defence Support Section (integrated in Counsel Support Section - 2010) Division of Victims and Counsel (abolished 2010 - sections moved to Office of the Registrar) e-Court operating system External Relations and Field Coordination Section Field Offiices Finance Section Forensic Sciences Section Full-time equivalent General Administration Unit Global Communications and Data Network Georgia General Service General Service (Other Level) General Service (Principal Level) General Services Section General temporary assistance Headquarters Human resources Human Resources Section Investigation Analysis Section Inter Agency Travel Network International Bar Association International Criminal Court International Criminal Court Protection Programme International Cooperation Section Information and communication technologies International Criminal Tribunal for the former Yugoslavia Information and Evidence Unit Intergovernmental organization International Labour Organization Administrative Tribunal 10-E-170816 ICC-ASP/15/10 IMSS INFM INTERPOL IOM IOP IOR IPSAS IRS IT JCCD KBU KEN LAS LBY LO LSS LSU MAL MIS MLI MORSS MOSS NGO NYLO OD-DER OD-DFS OD-DMS OIA OPCD OPCV OTP OU P PDO PIOS POS SAP SAS SG SO SS SSS SUD TFV TRIM UGA UNDSS UNDU UNON UNSMS VPRS VTC VWS WCF Information Management Servics Section (formerly ICTS: Info. and Comm. Technologies Section) Inter-agency Network of Facility Managers International Criminal Police Organization Independent Oversight Mechanism Immediate Office of the Prosecutor Immediate Office of the Registrar International Public Sector Accounting Standards Initial Response Services Information technologies Jurisdiction, Complementarity and Cooperation Division Knowledge Base Unit Kenya (Nairobi) Legal Advisory Section (in OTP) Libya Legal Office (formerly LASS: Legal Advisory Services Section (Registry)) Language Services Section (formerly STIC: Court Interp. and Transl. Section) Language Services Unit Mali (Bamako) Management information system Mali Minimum Operating Residential Security Standards Minimum Operating Security Standards Non-governmental organization New York Liaison Office Office of the Director of the Division of External Relations Office of the Director of the Division of Judicial Services Office of the Director of the Division of Management Services Office of Internal Audit Office of Public Counsel for the Defence Office of Public Counsel for Victims Office of the Prosecutor Outreach Unit Professional Project Director's Office (permanent premises) Public Information and Outreach Section (formerly PIDS: Public Info. and Documentation Section) Planning and Operational Support Section Enterprise Resource Planning System Situation Analysis Section Strategic goal Strategic objective Services Section Security and Safety Section Darfur, Suda Trust Fund for Victims Total records information management Uganda (Kampala) United Nations Department of Safety and Security United Nations Detention Unit United Nations Office at Nairobi United Nations Security Management System Victims Participation and Reparations Section Video teleconferencing Victims and Witnesses Section (formerly VWU: Victims and Witnesses Unit) Working Capital Fund 10-E-170816 5 ICC-ASP/15/10 6 10-E-170816 ICC-ASP/15/10 I. A. Overview of proposed programme budget 2017, budget priorities and judicial assumptions Introduction 1. The International Criminal Court ("the Court") is proposing a programme budget for 2017 amounting to 147,250.7 thousand. This represents an increase of 9,860.6 thousand, or 7.2 per cent, over the 2016 approved budget (137,390.1 thousand). Following the recommendation of the Committee on Budget and Finance ("the Committee") at its twenty-fifth session, 1 the figures for the proposed regular budget are presented separately from the interest on the host State loan for the permanent premises. As indicated by the Committee, this has been done with a view to improving transparency and allowing for a comparative assessment of the resources needed for the Court's activities in 2017. When including the interest and capital repayment (under Host State Loan) in respect of the permanent premises project of 2,987.3 thousand, the Court's proposed programme budget for 2017 amounts to 150,238.0 thousand, or an increase of 7.6 per cent. Table 1: Overview of the proposed programme budget 2017 2016 Approved Budget (thousands of euro) 12,430.6 43,233.7 72,759.2 2,808.8 2,824.6 1,884.5 315.1 681.8 137,390.1 2,200.5 139,590.6 Resource changes Amount 813.1 3,046.5 6,843.8 109.0 -1,369.7 617.6 239.7 12.4 9,860.6 786.8 10,647.4 % 6.5 7.0 9.4 3.9 -48.5 32.8 76.1 1.8 7.2 35.8 7.6 Proposed 2017 estimates (thousands of euro) 13,243.7 46,280.2 79,603.0 2,917.8 1,454.9 2,502.1 554.8 694.2 147,250.7 2,987.3 150,238.0 ICC MP I: Judiciary MP II: OTP MP III: Registry MP IV: SASP MP V: Premises MP VI: STFV MP VII-5: IOM MP VII-7: OIA Sub-total MP VII-2: Host State Loan Total 2. The Court submits this proposed increase being fully aware of the challenging financial situation currently affecting the international community. The Court is also fully mindful of the expectations on it to produce concrete results, including effective investigations, prosecutorial results and speedier trials. The Court strongly believes that the proposed investments will result in tangible long-term efficiencies, mainly through more expeditious judicial proceedings ensuring full respect for the principles of fair trial, maintenance of the required quality of preliminary examinations, investigations and prosecutions, enhanced impact on the ground and a secure information environment for the Court's operations. 3. The proposed increase is largely the direct result of the implementation in 2017 of the strategic Court-wide priorities agreed by the Court's Principals, the President, the Prosecutor and the Registrar, in the context of the Coordination Council (CoCo), 2 and is based on a genuine and realistic assessment of the Court's needs for 2017. The high-level strategic priorities identified by the Principals for 2017 are: (i) running and supporting proceedings in three trials; (ii) conducting and supporting six active investigations; 1 Official Records of the Assembly of States Parties to the Rome Statute of the International Criminal Court, Fourteenth session, The Hague, 18-26 November 2015 (ICC-ASP/14/20), vol. II, part B.3. para 12. 2 Pursuant to regulation 3 of the Regulations of the Court, the Coordination Council is comprised of the President, the Prosecutor and the Registrar and coordinates, where necessary, the administrative activities of the organs of the Court. 10-E-170816 7 ICC-ASP/15/10 (iii) ensuring the Registry's capacity to deliver Court-wide services; and (iv) investments in key Court-wide information management projects and security capacity. The CoCo further agreed to include in the Judiciary budget a revision of the judges' remuneration in implementation of Resolution ICC-ASP/3/Res.3. 4. In addition, and in line with standard practice, the proposed programme budget for 2017 includes an approximate increase of 2 per cent in its staff costs resulting from the application of the United Nations Common System, which amounts to an increase of approximately 1.84 million. 5. In order to better explain the rationale behind the proposed programme budget for 2017, as well as the Court-wide interactions between specific judicial and prosecutorial activities and the cross-cutting resource requirements in different organs of the Court, this part of the budget will first address the Court-wide high-level strategic budget priorities for 2017, thus reflecting on how investments, savings and efficiencies have been proposed throughout the Court to implement these essential goals. Moreover, the judicial assumptions for 2017 will be explained, followed by the enhanced budgetary process, including the strengthened role of the CoCo in setting the strategic framework on which budget requirements for 2017 have been built. Finally, an overview of the preliminary examinations, situations under investigation and cases before the Court will be provided, including an analysis of the environment in which the Court is expected to operate. B. High-level strategic budget priorities for 2017 6. Almost 15 years into its existence, the Court continues to face new challenges, both in and outside the courtroom. In the light of this, strategic vision and the setting of corresponding key priorities have become ever more essential. In addition, a number of recent inter-organ projects have also contributed to an ever more coherent and comprehensive joint strategic vision of the Court's Principals regarding the institution's main activities and key priorities, both long- and short-term. Projects such as the Court's basic size, synergies and the definition of performance indicators have led to increased strategic discussion of the Court's organs on a number of different levels. In addition, structural and workflow improvements in the Registry are yielding positive effects. This has generated a noticeable increase in internal streamlining, communication and efficiency of the institution as a whole. 7. The Court's strategic vision remains focused on generating fast and high-quality output in all its mandated activities, mindful of the overarching principle of fairness of proceedings. In the light of increasing pressure on a Court that is steadily intensifying its operations in various situations around the globe, the One-Court principle remains essential and all efforts of the Court's Principals are guided by this key postulate. This is also expressed in the present budget document, as will be briefly outlined below. 8. The Court's key priorities for 2017 are reflective of the institution's general strategic, vision on the one hand, and the more immediate requirements on the other, in order for the Court to fulfil its mandate. Importantly, the Court's focus is geared towards its main -and most essential- activities and drivers, while being mindful of its budgetary constraints. As a result, the Court's Principals have agreed on activity assumptions which represent the necessary minimum for the Court to fulfil its judicial mandate while remaining within reasonable budgetary confines. 9. The Court's strategic vision translates into a list of key activities for each of the organs in 2017. Following a Court-wide strategic approach, all organ-specific activities are coordinated with all other organs concerned, leading to increased efficiency and synergies. This is manifest in an integrated, coordinated approach of the Office of the Prosecutor (OTP) and the Registry regarding field activities; close cooperation between Chambers and the Registry as regards courtroom needs in 2017; and also a more strategic, streamlined and coordinated approach on the budget. 8 10-E-170816 ICC-ASP/15/10 1. 2017 Strategic Court-wide priorities 10. Following the decisions taken by the Court's Principals in the context of CoCo and in the light of the judicial activities and operations foreseen for next year, the high-level priorities for 2017 have been broken down into the four building blocks below. The Court defined a number of key priorities for 2017 which will serve as lead motives for its major activities and also translate into relevant cost drivers. It is important in this regard to note that these priorities and activities reflect what could reasonably be foreseen for 2017 at this stage. It must be stressed, however, that such priorities and activities may be impacted by the fluidity of the judicial and prosecutorial work of the Court. (a) Enhancing judicial efficiency: Running and supporting proceedings in three trials 11. With three cases expected to be at the trial hearing stage during 2017, likely new activity3 before the Pre-Trial Division later in 2017 and a full docket of cases on appeal,4 the Court requires sufficient capacity to run these proceedings in an efficient, fair and expeditious manner. To this end, the Registry will require increased staff and non-staff resources for the trial and courtroom support teams to be able to perform effectively, and a maximum of three courtrooms to be fully functional and running simultaneously where required, such as in relation to court management, language services, and witness support and protection. The overall increase required by the Registry in relation to supporting proceedings in judicial activities amounts to approximately 2.4 million. 12. In close coordination between the Chambers and the Registry, a hearing scheme was devised, providing for a standing capacity of two courtroom teams with sufficient extra capacity to provide for temporary sequences of three courtroom teams, thereby ensuring maximum use of courtroom capacity against minimal increases in required resources. Accordingly, proceedings in three trials are envisaged to be mainly conducted in two of the three courtrooms, with only 60 days of full overlap in which the use of the third courtroom will be required. This means that support will be required for a total of 500 days of hearings, of which 440 days of simultaneous trial proceedings will take place in two courtrooms, with additional capacity to simultaneously run three courtrooms over 60 days. 13. The envisaged solution is based on the average maximum use of courtroom capacity of other international tribunals, in particular the ICTY, during the peak of that tribunal's judicial activities. 14. Therefore, investment will be necessary for a sequential third courtroom team in the Registry, so as to save on the much higher costs that would otherwise have been incurred for a standing capacity of a third courtroom team. Having fully operational courtrooms in line with judicial needs will facilitate better planning, coordination and more expeditious proceedings, which in turn will result in savings for the institution. Chart 1: Courtroom usage for trial proceedings in 2017 15. Requests for additional Registry resources arising from the increase in judicial activities are limited to the strict minimum required to support the hearings, with provision for complementary resources by way of hiring freelancers, paying overtime and ensuring multi-disciplinary cross-training of relevant staff with a view to enabling an efficient and flexible use of resources. In other words, for the most part, the level of trial activities foreseen in 2017 can be sustained with the existing resources for two courtroom teams, 3 As a judicial institution, it is not possible to accurately predict how forthcoming developments can impact on the level of judicial activity. Accordingly, new activity before the Pre-Trial Division requiring courtroom time is envisaged to be absorbed within the courtroom capacity planned for in 2017. 4 See the detailed update on present and foreseen activities in section II below, "The Court in 2017". 10-E-170816 9 ICC-ASP/15/10 while minimal extra capacity will be required to provide for the additional 60 days when three courtroom teams will be required to run simultaneously. (b) Ensuring high-quality investigations: Conducting and supporting six active investigations 16. In implementing the Strategic Plan for 2016-2018, the OTP continues to set priorities by balancing, as best as possible, operational demands against the resources made available by the States Parties. Support for cases that are being prepared for trial or that are at the trial stage is always the OTP's top priority. At the same time, as the Court often operates in highly volatile political and security environments, focus and resources are also devoted to active investigations in order to capitalize on opportunities when this is still achievable. 17. The proposed Court budget would allow the OTP to conduct its preliminary examinations, investigations, and prosecutions with sufficient quality and efficiency, with an acceptable level of case prioritization, without yet reaching the desired pace because the standard team compositions are not yet met. The requested resources will also enable the required support from Registry to OTP investigations, in particular in relation to field operations and witness protection. 18. In the face of increasing global demand the exercise of the Court's jurisdiction, the OTP will continue to prioritize its activities in line with its strategy to ensure high-quality investigations. In 2016, following the authorization granted by Pre-Trial Chamber I, the OTP opened a new investigation in the Georgia situation funded through the Contingency Fund. In 2017 the OTP will continue its active investigation in Georgia. 19. In addition to Georgia, the OTP will continue to conduct five active investigations in existing situations; one for a full year in Côte d'Ivoire (CIV II), one for a full year in CAR (CAR II.b), one for a full year also in CAR (CAR II.a), one for a full year in Darfur and one for a full year in Libya (LBY 3). 20. Recent experience has shown that, regrettably, offences against the administration of justice (article 70 offences) are becoming a common feature when cases are brought to the trial phase. In the event of such an occurrence in the course of one or more of the trials foreseen for 2017, the OTP will respond, to the extent possible, using the resources available in the approved budget (which, of course, will have an impact on the other cases). 2. Overview of Court-wide needs regarding the six active investigations in 20175 21. The information below provides a summary overview of the Court-wide activities in relation to the six active investigations to be conducted by the OTP throughout 2017. For additional and more detailed information on Court-wide activities in relation to the different situations and cases before the Court, as well as OTP activities in relation to preliminary examinations, please refer to section II of this part, "The Court in 2017" (paras. 60 to 152). 22. Georgia: The OTP will continue active investigations in Georgia throughout 2017, which will, in turn, require enhanced support from the Registry, including the setting up of a small field office in Tbilisi, which will provide direct access to national and local authorities, facilitate victims' applications to participate in proceedings, enable outreach activities and support witness protection activities. One of the main challenges for the new field office will be to establish and maintain secure communications. Investments at both Headquarters and in the field will be required for enhanced physical and information security to safeguard the confidentiality of sensitive operations. 23. CIV II: Throughout 2017, the OTP will actively continue its investigation of CIV II. The start of the investigation in CIV II was delayed due to resource constraints, leading to substantial reputational damage for the Court, being perceived - incorrectly - as one-sided in its investigations. It is therefore crucial that in 2017 the Office has full resources to capitalize and build on the good progress made during 2016. For the Registry to support 5 More detailed information on all the ongoing activities of the OTP can be found in section II below (paragraphs 59 to 152). 10 10-E-170816 ICC-ASP/15/10 these activities, a continued field presence in Abidjan and a newly established satellite office in Western Côte d'Ivoire will be required. 24. CAR II.a and CAR II.b: In 2017, the OTP will continue its active investigations in relation to the two cases. Investigative activities will also include forensic missions, which will have a significant impact on resource requirements, including in the form of increased support from the Registry with respect to security and support to field operations. Significant changes in the political context as well as the security situation in CAR are elements that must be taken into account and increased measures are needed to protect staff on the ground on account of the volatile security situation and deficient infrastructure in the country. The Registry's VWS will also increase its operations in CAR to provide necessary services to the OTP. 25. Darfur: Alleged crimes falling under the Court's jurisdiction continue to be committed in Darfur, and the OTP cannot ignore this serious situation on which it has to report every six months to the UN Security Council. Additionally, investigative opportunities have arisen in recent months in relation to existing cases, resulting in the OTP's need for additional resources to be provided to the Darfur Integrated Team. In addition, a continued minimum level of staff resources for both the OTP and the Registry is required to monitor and track the movements of suspects and manage witnesses. 26. LBY 3: The investigative leads obtained and processed by the OTP in the past months are connected both to its investigations into officials linked to the reign of Mr Muammar Gaddafi (some of whom are still involved in ongoing crimes), but also to the ongoing crimes in Libya, such as those alleged to have been committed by ISIL and Ansar Al-Sharia. The current level of crime within Libya being committed by a variety of organizations and having an impact beyond the borders of Libya due to the transnational, organized, financial and terrorist nature of such crime, is also high. In order to maximize the impact of its activities, the OTP will continue its consultations with relevant international and regional partners and agencies for the purpose of exploring the possibility of cooperation, coordination and information sharing, where appropriate. Support will be needed from the Registry, including in terms of witness protection. (a) Ensuring the Registry's capacity to deliver crucial services in support of the Court's activities 27. The staff costs component of the approved Registry budget for 2016 was reduced by approximately 3.8 million as a result of the proposed staggered approach to the implementation of the Registry structure. In its report on its twenty-fifth session, the Committee expressly noted that the reductions to the 2016 budget increase achieved by postponing staffing the Registry represented a delay in expenditure. As a result, the Committee anticipated that some of these costs would appear in the Court's 2017 budget.6 28. Owing to this reduction, the Registry was required to stagger the implementation of its new structure throughout the year. Such a slow build-up of its structure means that the Registry is operating below the necessary capacity to provide the services required by the Court, including, in particular, judicial and investigative activities. 29. In order to ensure the Registry's ability to support the level of activities estimated for 2017, the organ's approved structure must be fully implemented. In this regard, the Registry first needs to consolidate its current structural requirements so as to further support the foreseen increased workload of the institution next year. 30. In principle, in order to achieve this, the Registry would require the full restoration of staffing resources under established posts that were staggered in 2016, as well as the restoration of resources for the workload posts in the field. However, the Registry has taken a conservative approach, continuing the staggering to some degree into 2017 in order to contain the budgetary increases. In this regard, in the light of the continued recruitment expected to extend into 2017, the Registry is proposing a temporary increase in its vacancy rate from 10 to 12 per cent so as to accurately reflect the recruitment realities in the Registry. This measure is aimed at containing the increase in the Registry's staff costs by 6 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol. II, part B.III, para. 33. 10-E-170816 11 ICC-ASP/15/10 further staggering recruitment in 2017 by approximately 0.9 million of the 3.8 million7 that should, in principle, be restored in the Registry's staff costs, which will lead to a net increase of approximately 2.6 million. It is expected in this regard that staffing levels will return to the normal 10 per cent vacancy rate by mid-2017 and will need to be costed accordingly in subsequent budgets. (b) Investment in key Court-wide information management projects and security capacity 31. The move to the permanent premises allowed the Court to improve its core IT infrastructure and audio-visual systems in the courtrooms. The core IT infrastructure provides the necessary network and communications platform for all the hardware and software required to support Court activities. The upgrade of courtroom operational systems allows the Registry to support the Court's requirement to record and broadcast the proceedings. While these improvements will meet the needs of Court for the next decade, there are other components of IT in which no significant investment has been made: hardware and software used by Court staff in the course of daily activities. Since 2011 the central IT budget has decreased steadily from 9 per cent of the overall budget in 2012 to 6 per cent. As a consequence, software applications and hardware are out of date and provide more of a barrier to than an enabler for efficiency in Court operations. 32. The Court is an information-centric organization with information technology providing the foundation for all Court operations. Appropriate investment is therefore fundamental to its daily operations and achieving strategic priorities. Through extensive consultation with all organs of the Court, the Information Management Governance Board is being established for planning, implementing and supporting IT and information management is in progress. The goal is to coordinate amongst the organs to determine priorities in order to align IT investment and resources to deliver the best value for the Court. The consultation identified priority areas for investment in 2017 which underpin the Court's strategic priorities. 33. The 500 days of projected courtroom activity will produce more data in one year than several previous years of the Court's operations. Furthermore, the OTP's investigative activities have evolved to accommodate the increase in digital data, requiring forensic analysis of large volumes of digital data. As a consequence, the Court requires sufficient storage capacity to meet demand. Currently the Court has the capacity to store data by one method only, which is not cost-effective for the projected future volumes. The Court recognizes that efficiencies and savings can be achieved by implementing a tiered storage capacity which allows for more cost-effective options to store data that is either public or not actively in use. 34. Court staff and external parties in both at Headquarters and at the field offices, and those on mission rely on the Court's hardware and software to protect information, from voice communications through to transferring and accessing information. The active investigations undertaken by the OTP will be taking place in higher surveillance environments, with potential investigations of state and non-state actors which have the technical capabilities to disrupt the Court's activities and compromise operational security or the safety of, inter alia, witnesses with cyber-attacks, external viruses and leaked information. These developments have the capacity to threaten the image of the Court, the integrity of its proceedings, the security of witnesses and the security of staff. Accordingly, the Court must take all necessary measures to mitigate these threats and improve its capacity to identify and respond to threats. 35. In this regard, investments amounting to 1.8 million in the following three areas will be made throughout 2017: (a) Augmentation of the Court's capacity for data storage required to support the increase in courtroom activities and thus digital recordings of all Court activities and the increase in investigation activities by the OTP; 7 The total amount of 3.8 million corresponds to 3.4 million for established posts and an additional reduction of 0.4 million in GTA resources in 2016. 12 10-E-170816 ICC-ASP/15/10 (b) Improvements to the Court's information security capabilities to ensure the confidentiality and integrity of investigation activities in high-surveillance environments; and (c) Updating the Court's hardware and software to protect its information in a challenging environment with an increasingly mobile workforce. C. 2017 judicial assumptions and operating environment 36. It is expected that in 2017, the Court will continue operating in 10 situations under investigation: the Central African Republic (I and II) (CAR), Côte d'Ivoire (CIV), Darfur, the Democratic Republic of the Congo (DRC), Georgia, Kenya, Libya, Mali and Uganda. 37. In addition, the OTP will continue its analysis of nine situations under preliminary examination: Afghanistan, Burundi, Colombia, Guinea, Iraq, Nigeria, Palestine, Comoros and Ukraine. 38. It is important to note that, in the course of its preliminary examination activities, as per its policy on the issue and its 2012-2015 and 2016-2018 Strategic Plans, the OTP seeks to contribute to two overarching goals of the Rome Statute, i.e. the ending of impunity, by encouraging genuine national proceedings, and the prevention of crimes, thereby potentially obviating the need for the Court's intervention. Preliminary examination activities therefore constitute one of the most cost-effective ways for the Office to fulfil the Court's mission. 39. The OTP is expected to increase the number of active investigations from four and a half in 2016 to six in 2017, namely, CAR II.a (Séléka), CAR II.b (anti-Balaka), Libya (LBY 3), CIV II, Georgia and Darfur. 40. It is foreseen that the Court will maintain 10 field presences in 2017 - two in the DRC (Kinshasa and Bunia), one in Kenya (Nairobi), one in CAR (Bangui), two in Côte d'Ivoire (Abidjan and Western Côte d'Ivoire), one in Mali (Bamako), two in Uganda (Kampala and Gulu) and one in Georgia (Tbilisi). A very limited capacity will be maintained in Nairobi, Kenya, with a view to closing the field office in the course of 2017. The presences in Western Côte d'Ivoire and Gulu act as small hubs to support focused operations in the respective areas of the countries. 41. In the light of the continued operations in all situations under investigation, the number of persons under protective measures will remain high in 2017. More than 110 witnesses will remain under protection in 2017, including witnesses in the Court's protection programme, assisted moves and other types of support. This figure includes 49 internationally relocated witnesses who are in the care of a third entity and under continued monitoring by the Registry's Victims and Witnesses Section (VWS). There are currently 575 persons under protective measures (110 witnesses and 465 dependents). Similarly, it is expected that more than 14,100 individuals will apply to participate as victims in the different ongoing judicial proceedings. Furthermore, in order to operate in the Court's situations under investigation, support will continue to be required for more than 24 situation-related languages in 2017. 42. At the judicial level, it is foreseen that at least nine accused persons will be appearing before the Court in 2017, of whom five will remain in detention. One cell-block of six cells will thus be required in the Detention Centre. At least three cases are expected to continue at the trial stage throughout 2017, namely, Gbagbo and Blé Goudé, Ntaganda and Ongwen. The case of Al Mahdi (plea pursuant to article 65 of the Statute) is due to commence in August 2016. Pending a final decision, reparation proceedings may take place in 2016, continuing into 2017. In addition, another Trial Chamber is considering reparations in Katanga and in Lubanga. Finally, reparation proceedings in Bemba before a separate Trial Chamber will continue in 2017. In addition to trial proceedings, two final appeals are expected to be ongoing throughout 2017, alongside potential appeals against reparation decisions/orders in the aforementioned cases. 43. For the purpose of the proceedings in these three trials, 92 witnesses are expected to appear to give testimony, requiring full support from the Registry's VWS. Eight languages will need to be supported in courtroom proceedings, in addition to English and 10-E-170816 13 ICC-ASP/15/10 French. Importantly, 12 defence teams and up to five teams of legal representatives of victims will continue to be financed through legal aid in 2017. D. Budget process 44. In response to the recommendations of the Committee and the resolution adopted by the Assembly of States Parties at its fourteenth session,8 the Principals of the Court have taken steps to re-design its budget process and improve the coherence of its annual budget document. The internal budget process has benefited from this review and as a result has become more streamlined, steered commonly and closely by the Principals following the One-Court-principle in a top-down approach setting clear strategic objectives, as well as having internal consultations within each respective organ. 1. Steps taken 45. In December last year, shortly after the Assembly session, the Principals of the Court agreed on the way forward in redefining the budget process and addressing the main issues which had been identified. As a result, a new budget process was crafted and agreed on, following the general rationale that: (a) There is a necessary budgetary inter-connection between the organs, simply because there is a deep operational interaction between them in the realization of their respective mandates. (b) Investigations of the OTP, as well as proceedings before the Chambers, require support from the Registry, from the most elemental levels of ensuring recruitment of qualified staff, to issues such as languages, field support, witness support, eCourt systems, security, detention, and victim participation. 46. The Principals' roadmap for an optimized, streamlined budget process was based on an early strategic involvement of the Principals through their main strategic discussion forum, the CoCo, and a Budget Working Group (BWG) led directly by the Registrar, in line with his budgetary responsibility under the Financial Regulations and Rules. 47. This new strategic approach on the budget process translated into a number of key steps which the organs followed through in the 2016 budget process: (a) Definition of the organs' core priority activities for 2017 in direct, high-level consultation in early 2016 (January); establishment of a timeline for the 2017 programme budget process; (b) Estimation of the budgetary impact of the core priority activities thus identified, followed by a reality check, considering both internal and external constraints and drivers; and (c) Setting of the formal assumptions for the 2017 budget on the basis of the revised core priority activities. 48. In order to ensure the necessary drive and timely decisions from the Court's leadership, the Principals held frequent periodic meetings with the CoCo dedicated particularly to the 2017 budget process. The link between the CoCo and the BWG was intensified through more frequent and in-depth direct involvement by the Principals. The BWG continues to receive increased guidance and instructions from the CoCo on all operational tasks and reports back to the Principals periodically. 49. The composition of the BWG has been expanded for the purpose of designing an improved, more transparent and streamlined budget process and document. This new and expanded BWG is chaired by the Registrar and consists of representatives of the three organs, including both staff with technical/budgetary expertise, as well as staff who focus on the development of the narratives of the budget document. 8 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol. II, part 3; and vol. I, part III, Resolution ICC-ASP/14/Res.1. 14 10-E-170816 ICC-ASP/15/10 50. Court-wide coordination of organ-specific activities has been significantly enhanced, leading to increased efficiency and synergies. This is manifest in an integrated, coordinated approach of the OTP and the Registry regarding field activities; close cooperation between Chambers and the Registry as regards optimization of courtroom requirements in 2017; continued staggering of the completion of the Registry structure through prioritization of activities in coordination with the other organs; a temporary increase in the OTP and Registry vacancy rates; and continuous reviews of OTP service requirements to reach optimal results against minimal costs. 51. Simultaneously with the definition of core priority objectives and assumptions, the Court assessed key requirements regarding the improvement of the budget document as such, following the helpful guidance of the Committee. The common starting point is that the budget proposal should be a cohesive and consistent document guided by a common vision from the Principals on the Court-wide budgetary needs, expressed through key budget drivers. This vision creates the framework for the budget narrative, which will then be supported by the figures. 52. Notably, the following two steps were taken in relation to the budget document: (a) Reshaping of the budget document so that it reflects more visibly the "One Court" approach by the Principals in defining the Court's budgetary needs; and (b) Improving the internal coherence of the budget document in terms of the clarity, consistency and relevance of the budget narratives and corresponding resource tables and figures. 53. To this end, the Court maintained close correspondence with the Committee at an early stage in 2016 for initial guidance, and presented its proposed new approach at a dedicated meeting with the Committee during its twenty-eighth session in April 2016. On that occasion, the Committee expressed its general approval of the suggested improvements subject to their consideration of the present budget document. 54. This experience has served as a catalyst for self-examination. Many lessons are being learned as the Court proceeds and experiences are being collected. 55. In sum, the 2017 budget process has been guided by a common vision of the Principals on Court-wide budgetary needs. This, in combination with other important ongoing Court-wide initiatives, has not only ensured a more coherent and coordinated proposed budget, but has also allowed for better identification and execution of efficiencies and synergies due to the avoidance of duplication and the streamlining of activities. Finally, the budget document has improved in terms of clarity and consistency with regard to the narratives and corresponding resource tables and figures. E. Synergies 56. Over the course of 2015-2016, the Court has engaged in a comprehensive synergies exercise as requested by the Assembly.9 Reporting to the Committee, representatives of all organs of the Court formed a number of working groups focusing on a number of thematic areas to gauge whether potential overlap existed between the different entities of the Court. The overall objective of these working groups was to identify such possible duplication and promote synergies within the Court. The initial results of the reviews that have already taken place indicate that most inter-organ processes have already been carefully established to ensure that no duplication occurs. 57. During the Committee's twenty-sixth session, a first report was presented focusing on the areas of analysis, languages, public information, human resources and external relations. Quantifiable efficiency gains and/or savings were identified and the working groups managed to streamline processes and clarify responsibilities for all reviewed areas. 58. For the Committee's twenty-seventh session, the Court focused on the areas of mission planning, information technology, witness management and procurement. The Court was able to finalize the review of procurement and mission planning. While this review did not result in quantifiable efficiency gains or savings, a favourable outcome was 9 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol. I, part III, ICC-ASP/14/Res.1, J, para. 4. 10-E-170816 15 ICC-ASP/15/10 achieved. Improvements in processes and procedures were proposed and overall transparency between the different entities of the Court increased. Significant progress was made and reported upon in the areas of witness management and information technology, and additional work will continue to be required. Given the volume and complexity of both areas and the available resources for conducting the reviews, the Court did not manage to finalize the review. However, a report on the results will be included for the Committee's twenty-eighth session. 59. The Court will continue its common endeavour to identify synergies with a final report to be expected in 2017. As a testament to the One-Court-principle, the synergies exercise has enjoyed a highly collaborative inter-organ effort throughout and increased transparency and collaboration between the organs. II. A. The Court in 2017 Preliminary examinations, situations and cases before the Court Situations under preliminary examination 60. The OTP conducts preliminary examinations of all situations that come to its attention to determine, on the basis of the legal criteria established by the Rome Statute ("the Statute") and the information available, whether the situations warrant investigation. The OTP is currently conducting preliminary examinations in nine situations - Afghanistan, Burundi, Comoros, Palestine, Iraq, Guinea, Nigeria, Ukraine, and Colombia. 61. The factors set out in article 53(1)(a)-(c) of the Statute establish the legal framework for a preliminary examination. In order to determine whether there is a reasonable basis to proceed with an investigation into the situation, the Prosecutor considers jurisdiction, admissibility and the interests of justice. 62. The preliminary examination process is conducted on the basis of the facts and information available mostly in open sources, such as public documents, reports, videos and other materials from any reliable source. The Office will also conduct missions, as required, to meet relevant stakeholders of all sides, from government officials to civil society representatives, for the purpose of receiving information, but also explaining the nature and scope of the preliminary examination process, which should not be mistaken for a fully fledged investigation. 63. All information gathered is subjected to a fully independent, impartial and thorough analysis. The Office's findings are preliminary in nature and may be reconsidered in the light of new facts or evidence. The goal of this process is to reach a fully informed determination of whether there is a reasonable basis to proceed with an investigation. No timelines are provided in the Statute for a decision on a preliminary examination. 64. To manage the analysis of the factors set out in article 53(1), the Office has established a filtering process comprising four phases. While each phase focuses on a distinct statutory factor for analytical purposes, the Office applies a holistic approach throughout the preliminary examination process. 65. Phase 1 consists of an initial analysis and filtering of all information on alleged crimes received under article 15 ("communications"). Phase 2, which represents the formal commencement of a preliminary examination, focuses on whether the preconditions to the exercise of jurisdiction under article 12 are satisfied and whether there is a reasonable basis to believe that the alleged crimes fall within the subject-matter jurisdiction of the Court. The Office may further gather information on relevant national proceedings if such information is available at this stage. Phase 3 focuses on the admissibility of potential cases in terms of complementarity and gravity. In this phase, the Office will also continue to collect information on subject-matter jurisdiction, in particular when new or ongoing crimes are alleged to have been committed within the situation. Phase 4 examines the interests of justice consideration in order to formulate the final recommendation to the Prosecutor on whether there is a reasonable basis to initiate an investigation. 66. In the course of 2017, the OTP will continue its analysis on the situations under preliminary examination. 16 10-E-170816 ICC-ASP/15/10 B. Situations under investigation and cases before the Court 67. As indicated, in 2017 the Court will continue operating in 10 situations under investigation, namely, the Central African Republic (I and II) (CAR), Côte d'Ivoire, Darfur, the Democratic Republic of the Congo (DRC), Georgia, Kenya, Libya, Mali and Uganda. 1. Situations in the Central African Republic I and II 68. The Central African Republic (CAR) has twice referred a situation on its territory to the Court. Investigations with respect to CAR I focused on atrocities committed in CAR in 2002 and 2003. Investigations in CAR II focus on crimes committed during renewed violence in the country from 2012 onwards by the Séléka and anti-Balaka factions. 69. Since the second half of 2012, a serious escalation of violence has been visible in CAR. Clashes and attacks by government entities and various groups, including elements known as, or gathered under, the name Séléka and anti-Balaka, led to the commission of grave crimes within the jurisdiction of the Court. These attacks fueled a spiral of violence and revenge attacks between (groups linked to) the Séléka and (groups linked to) the anti-Balaka, which still continue today and remain a cause for the population to flee their homes and shelters. 70. Peaceful elections were held and a new government established under the leadership of President Faustin-Archange Touadera. The security environment however remains unstable; a situation aggravated by the inability of the army to ensure full security. Violence in the country has continued in 2016 with staff working in international assistance missions as targets for abductions. This in turn has necessitated an elevated level of security for the Court's operations in CAR. (a) Situation in Central African Republic I 71. On 22 December 2004, the Government of CAR referred the first situation to the Court concerning crimes committed after 1 July 2002 in its territory, including an armed conflict between Government and rebel forces which took place in CAR from October 2002 to March 2003. 72. On 22 May 2007, the OTP opened an investigation into the first situation in CAR. Following the issuance of a warrant of arrest, Mr Jean-Pierre Bemba Gombo was arrested by the Belgian authorities and surrendered to the Court's custody. He was transferred to the Court's Detention Centre on 3 July 2008. Following confirmation of the charges, his trial started on 22 November 2010. On 21 March 2016, Trial Chamber III unanimously found Mr Jean-Pierre Bemba, as a commander of his armed troops, guilty beyond reasonable doubt of two counts of crimes against humanity (murder and rape) and three counts of war crimes (murder, rape, and pillaging). He was sentenced to18 years of imprisonment. The decision marked the first conviction in the Court's jurisprudence based on the mode of liaibility of command responsibility, following the OTP strategy to present cases on charges of sexual and gender-based crimes, as also reflected in its published policy paper of sexual and gender-based crimes. 73. On 20 November 2013, Pre-Trial Chamber II issued a warrant of arrest for Jean-Pierre Bemba Gombo, Aimé Kilolo Musamba, Jean-Jacques Mangenda Kabongo, Fidèle Babala Wandu and Narcisse Arido for offences against the administration of justice under article 70 of the Rome Statute, in connection with witness testimonies in the case of The Prosecutor v. Jean-Pierre Bemba Gombo. 74. On 23 and 24 November 2013, the suspects were arrested with the cooperation of the authorities of Belgium, the Netherlands, France and the Democratic Republic of the Congo, and surrendered to the custody of the Court. On 29 September 2015 the trial opened before Trial Chamber VII. With the exception of Jean-Pierre Bemba, who is detained by the Court, the other four co-accused are appearing voluntarily, pursuant to the interim release granted by Pre-Trial Chamber II on 21 October 2014. The parties presented their closing arguments between 31 May and 2 June 2016, and the case is currently at the judges' final deliberation stage. 10-E-170816 17 ICC-ASP/15/10 75. The two abovementioned cases are expected to be in final appeals phase in 2017. In the first case, the reparations proceedings are expected to take place throughout 2017. Legal aid is provided to five defence teams in the context of these cases, and to one team of legal representatives for victims. Importantly, the Registry has adopted an amended reduced remuneration scheme for Counsel representing clients in cases concerning offences against the administration of justice in the post-trial phase. 76. Support will be required from the Registry in 2017 for these two judicial proceedings: a total of 5,000 individuals are participating in proceedings related to Bemba, a number which is expected to substantially increase as the case moves to the reparations phase. Outreach activities will continue to be organized in relation to all judicial proceedings to inform victims and affected communities of key developments, notably in relation to any such reparations proceedings in Bemba. In addition, field support, and in particular, security support is needed for missions outside the country's capital which rely on the Registry's country analysis capabilities. (b) Situation in Central African Republic II 77. Following a second referral by CAR authorities in May 2014 and a thorough preliminary examination of the situation, the Prosecutor decided on 24 September to open a second investigation into the situation in CAR, in which crimes within the jurisdiction of the Court appear to have been committed since 1 August 2012. In doing so, the OTP identified two potential cases: CAR II a (Séléka) and CAR II b (anti-Balaka). The situation in CAR II is assigned to Pre-Trial Chamber II. Investigations are ongoing, with two teams of investigators working on the crimes that have allegedly been committed by the different sides to the conflict. 78. In line with the primary responsibility of States Parties to investigate and prosecute Rome Statute crimes, the OTP has encouraged and continues to encourage national proceedings in relation to all parties to the conflict, and closely follows developments regarding the establishment of a Special Criminal Court for the Central African Republic. The national judicial system, however, remains fragile and continues to suffer from a significant lack of capacity to conduct the necessary investigations and prosecutions successfully. 79. Despite a general decrease in the escalation of violence since late 2015, the security situation remains precarious and regular clashes continue between groups linked to the Séléka and groups linked to the anti-Balaka, as well as attacks on villages and displacement camps by both groups. 80. The OTP will continue its active investigations in relation to the two cases in 2017. Investigative activities will also include forensic missions, which will have a significant impact on resource requirements. 81. Cooperation from the CAR authorities as well as other key stakeholders in CAR and the wider region has thus far been forthcoming. 82. Significant changes in the political context and the security situation in CAR are, however, elements that must be taken into account, as they may severely impact the OTP's investigations and the Court's operations. Increased measures continue to be needed to protect staff on the ground on account of the volatile security situation and deficient infrastructure in the country. 83. Importantly, 1,200 individuals are currently participating in proceedings as victims in the CAR II situation. In this regard, during the ongoing OTP investigations, Registry outreach activities to inform victims and affected communities must also be intensified. A strengthened field presence in Bangui is required to support these activities in 2017. The increased investigative activities next year, in particular the missions outside the capital city, will require increased security support. In addition, witness support and protection will become an increasingly important matter as investigations of the OTP progress. 18 10-E-170816 ICC-ASP/15/10 2. Situation in Côte d'Ivoire 84. Post-election violence erupted in Côte d'Ivoire in 2010/2011 after results in the presidential elections contested by Mr Laurent Gbagbo and Mr Alassane Ouattara were disputed. Atrocities purportedly committed during the ensuing violence included murder, rape, other inhumane acts, attempted murder, and persecution. 85. Although Côte d'Ivoire was not party to the Rome Statute at the time, it accepted the Court's jurisdiction on 18 April 2003. After conducting a preliminary examination of the situation, on 23 June 2011, the OTP submitted a request for authorization to open investigations proprio motu into the situation in Côte d'Ivoire on 23 June 2011, and on 3 October 2011was authorized to do so. On 15 February 2013, Côte d'Ivoire ratified the Rome Statute. The investigation has focused: the alleged crimes committed by the pro-Gbagbo forces (CIV I) and those committed by the pro-Ouattara forces (CIV II). 86. The investigation into CIV I resulted in warrants of arrest being issued for three suspects based on the evidence collected: Laurent Gbagbo, Charles Blé Goudé and Simone Gbagbo. All are suspected of crimes against humanity allegedly committed in the context of post-electoral violence in Côte d'Ivoire between 16 December 2010 and 12 April 2011. Laurent Gbagbo and Charles Blé Goudé are in the Court's custody. Following confirmation of the charges in 2014, a joined trial for the two suspects opened on 28 January 2016 and is currently proceeding. 87. On 27 May 2015, the Appeals Chamber rejected Côte d'Ivoire's admissibility challenge and appeal arguing that a case against the same person for the same crime is being prosecuted at the national level. The warrant of arrest for Simone Gbagbo remains outstanding, and the case will remain at the pre-trial stage until Simone Gbagbo is transferred to the Court's custody. 88. The prosecution case in the trial of Laurent Gbagbo and Charles Blé Goudé will be ongoing throughout 2017. Registry courtroom support will be required to ensure that the 175 days of planned trial hearings in 2017 can adequately take place in one of the operational courtrooms, alongside the proceedings in Ongwen and Ntaganda. Similarly, both Chambers and OTP will continue to require, respectively, a dedicated trial team for the duration of this trial. Both accused persons are detained in the Court's custody and both of their respective defence teams are being financed through legal aid. The 728 victims participating in these proceedings are being represented by the Office of Public Counsel for Victims (OPCV). 29 witnesses are expected to appear for testimony during 2017, with an average duration of five court-days per witness. 89. There are already visible signs of witness intimidation: this will be a challenge for the Court, requiring additional resources to be allocated to necessary measures regarding effective witness protection pursuant to article 68 of the Statute, as well as possible article 70 activities. 90. After considerable delays, mostly due to resource limitations, full-scale investigations into CIV II ("pro-Ouattara forces") began with an intensified focus in 2016. 91. Throughout 2017, the OTP will actively continue its investigation of CIV II. Investigative activities are expected to be conducted in various parts of Côte d'Ivoire and abroad, with possible forward operating bases rather than field offices. The delayed start of the investigation in CIV II led to substantial reputational damage for the Court, being erroneously seen as one-sided in its investigations. It is therefore imperative that in 2017, OTP has full resources to capitalize and build on the progress made during 2016. 92. For the Registry to support both the judicial activities and the OTP investigations, a continued field presence in Abidjan and a newly established satellite office in Western Côte d'Ivoire will be required, as well as support in two situation languages in the courtroom - Dioula and Bambara - and witness support and protection. Increased resources are required for the field office to provide security and logistical support to the missions taking place in 2017. An increasing number of missions will necessitate more vehicular and security support, as well as language services. 10-E-170816 19 ICC-ASP/15/10 3. Situation in Darfur 93. Sudan is not a State Party to the Rome Statute. An armed conflict emerged in Darfur between rebel movements and the Government of Sudan and other armed groups in February 2003. Attacks against civilians and other atrocities, including killings, rape, persecution and other inhuman acts purportedly became widespread. The UN Security Council referred the situation in Darfur, to the Prosecutor on 31 March 2005, pursuant to its resolution 1593 and in line with article 13(b) of the Statute. 94. The security situation in Darfur continues to be volatile despite calls by the UN Security Council for all parties to the conflict to immediately cease all acts of violence. As of mid-June 2016, 2.6 million people remain displaced across Darfur and 1.6 million civilians continue to reside in some 60 camps for internally displaced persons across the region, according to the UN. 95. On 6 June 2005, the OTP opened an investigation into the situation in Darfur, in relation to crimes within the jurisdiction of the Court committed since 1 July 2002. The OTP's investigations have focused on allegations of genocide, war crimes and crimes against humanity committed in Darfur: (a) President Omar Al Bashir is facing five charges of crimes against humanity, two charges of war crimes, and three charges of genocide allegedly committed against the Fur, Masalit and Zaghawa ethnic groups in Darfur, from 2003 to 2008. The first warrant for arrest for Mr Al Bashir was issued on 4 March 2009, and the second on 12 July 2010; (b) Mr Ahmad Muhammad Harun and Mr Ali Muhammad Abd-Al-Rahman ("Ali Kushayb") are facing 20 charges of crimes against humanity and 22 charges of war crimes. On 27 April 2007, warrants of arrest were issued for the suspects; (c) Mr Abdel Raheem Muhammad Hussein is facing seven charges of crimes against humanity and six charges of war crimes committed in Darfur from 2002 onwards. A warrant was issued for his arrest on 1 March 2012; and (d) Mr Abdallah Banda Abakaer Nourain is facing three charges of war crimes allegedly committed in an attack carried out on 29 September 2007 against the African Union Peacekeeping Mission in Sudan, at the Haskanita Military Group Site in the Umm Kadada locality of North Darfur. On 7 March 2011, Pre-Trial Chamber I unanimously decided to confirm the charges of war crimes brought against Mr Banda and committed him to trial. The accused was not in the Court's custody as he was under a summons to appear during the pre-trial stage of the case. On 11 September 2014, Trial Chamber IV issued a warrant of arrest to ensure his presence at trial, a decision confirmed by the Appeals Chamber on 3 March 2015. 96. All the above-mentioned warrants of arrest remain outstanding. The cases either remain at the pre-trial stage, pending the suspects' arrest and surrender to the Court's custody or, in the case of Abdallah Banda Abakaer Nourain, before the Trial Chamber but pending the accused's arrest before the presentation of evidence can commence. 97. In addition, Mr Bahar Idriss Abu Garda was charged with three counts of war crimes. Following a confirmation of charges hearing, where Mr Abu Garda appeared voluntarily, on 8 February 2010, Pre-Trial Chamber I decided not to confirm the charges against him. In accordance with the Chamber's decision, the Prosecution may request anew the confirmation of charges by presenting additional evidence. Proceedings against Saleh Mohammed Jerbo Jamus were terminated by Trial Chamber IV on 4 October 2013 after evidence was received pointing to his death. 98. Due to the lack of arrests, and given the practical resource limitations of the Court, the OTP has had to deprioritize the resources dedicated to the Darfur situation and dedicate its efforts to other situations and cases. Indeed, the OTP has reported on the "hibernation" of the cases concerned in its public reports to the Security Council. However, this approach is not sustainable in the long term, given that serious crimes within the situation continue to be committed, and that the persons sought by the Court may be arrested at any time. Moreover, reference to the "hibernation" of cases has reportedly led to fears among victims and affected communities that the OTP has abandoned its investigations altogether (despite OTP clarifications to the contrary), and appears to have emboldened the suspects. 20 10-E-170816 ICC-ASP/15/10 99. Alleged crimes falling under the Court's jurisdiction continue to be committed in Darfur, and the OTP cannot ignore this serious situation on which it has to report every six months to the UN Security Council. Additionally, investigative opportunities have arisen in recent months in relation to existing cases, which call for the OTP's need for additional resources to the Darfur Integrated Team. This will also allow the OTP to meet its standard of being as trial-ready as possible from the earliest phases of the proceedings in accordance with the tenets of its strategic plans. It will also reduce the need to request postponement of the confirmation hearing in the event of an arrest, as has occurred in other cases where suspects connected to hibernated cases were arrested, thereby increasing the overall efficiency and pace of judicial proceedings before the Court. 100. In addition, a continued minimum level of staff resources for both the OTP and the Registry is required to monitor and track the movements of suspects and manage witnesses. 4. Situation in the Democratic Republic of the Congo 101. On 3 March 2004, the Government of the DRC referred the situation in its territory since 1 July 2002 to the Court. The DRC situation has to date produced six cases, with six suspects involving numerous charges, which include crimes against humanity and war crimes. In one case (Mbarushimana) the charges were not confirmed and in another case (Ngudjolo Chui) the accused was acquitted. Two cases are currently in the reparations phase after final sentencing (Lubanga and Katanga); one case is in the trial phase (Ntaganda); and one case (Mudacumura) is pending execution of the warrant of arrest. 102. On 14 March 2012, Trial Chamber I found Thomas Lubanga Dyilo guilty, as co-perpetrator, of committing the war crimes of the enlistment and conscription of children under the age of 15 and using them to participate actively in hostilities. He was consequently sentenced to a total of 14 years of imprisonment, and was transferred to a prison facility in the DRC to serve his sentence. The judicial process for reparations to victims is ongoing. 103. On 7 March 2014, Trial Chamber II found Germain Katanga guilty, as an accessory, of one count of a crime against humanity (murder) and four counts of war crimes (murder, attacking a civilian population, destruction of property and pillaging). The judgment is final, as both the Defence and Prosecution withdrew their appeals. He was sentenced to a total of 12 years' imprisonment, which was later reduced by the Appeals Chamber to three years and eight months, and was consequently transferred to a prison facility in the DRC to serve his sentence. Reparations proceedings are ongoing. 104. On 9 June 2014, Pre-Trial Chamber II unanimously confirmed the charges against Bosco Ntaganda and committed him for trial. Charges include crimes of conscripting, enlisting and using child soldiers; crimes against humanity: murder, rape and sexual slavery; and war crimes: murder, attacking a civilian population, rape and sexual slavery and pillaging. The trial opened on 2 September 2015. Following his voluntary surrender on March 2013, Mr Ntaganda has been in the Court's custody. He is deemed indigent and thus benefits from legal aid from the Registry. 105. A warrant of arrest was issued on 13 July 2012 for Sylvestre Mudacumura on charges of war crimes (attack against a civilian population, murder, mutilation, cruel treatment, rape, torture, destruction of property, pillaging and outrage upon personal dignity) and crimes against humanity (murder, inhumane acts, rape, torture and persecution). Until Mr Mudacumura is arrested and transferred to the seat of the Court in The Hague, the case will remain at the pre-trial stage. 106. In terms of judicial activities in the DRC situation, three important proceedings are foreseen to be ongoing throughout 2017, first, the trial proceedings in Ntaganda. Furthermore, there are currently two cases (Lubanga and Katanga) that have reached the reparations phase of proceedings. Being the first case to substantively address the topic of reparations, the Lubanga case has taken time to reach the implementation phase due to, inter alia, litigation on various points of law and procedure. In 2017, both Lubanga and Katanga are expected to be in the implementation phase of the reparations proceedings and support is continued to be required in 2017 in this regard. 10-E-170816 21 ICC-ASP/15/10 107. The trial proceedings against Bosco Ntaganda are expected to remain in the prosecutorial phase throughout 2017. Registry courtroom support will be required to ensure that the 160 days of planned trial hearings in 2017 can adequately take place in one of the courtrooms, alongside the proceedings for Ongwen and Gbagbo and Blé Goudé. Similarly, to ensure the smooth running of the trial, both Chambers and OTP will continue to require, respectively, a dedicated trial team for the duration of the trial. The accused is detained in the Court's custody and his defence team is being financed through legal aid. The 2,142 victims participating in these proceedings are being represented by the OPCV. An estimated 35 witnesses will appear to give testimony in 2017, with an average duration of five court-days per witness, while video link testimony remains an alternative. 108. To support activities in relation to this situation and the cases therein, the field presence in Kinshasa and Bunia will continue to be required, as well as support in four situation languages, including in the courtroom: Standard Swahili, Congolese Swahili, Kinyarwanda and Lingala. Outreach activities need to be enhanced in the light of the ongoing trial and reparation proceedings, and assistance and support to the defence and victims' representatives continues to be crucial. Witness support and protection remains a high priority. 5. Situation in Georgia 109. On 14 August 2008, the OTP opened a preliminary examination of the Situation in Georgia (a State Party since 5 September 2003). In the absence of effective proceedings at the national level concerning at least the majority of aforementioned alleged crimes, on 13 October 2015, the OTP submitted a request to Pre-Trial Chamber I (PTC) for authorization to open an investigation. 110. On 27 January 2016, the PTC granted the Prosecutor authorization to commence an investigation into the situation in Georgia in relation to crimes falling within the Court's jurisdiction, allegedly committed in and around South Ossetia between 1 July and 10 October 2008. 111. Following the authorization, the OTP and the Registry conducted joint missions to Georgia to assess the situation and Court-wide requirements. Preparations to visit other relevant authorities are also being made. The OTP started reviewing material already in its possession, drafting relevant plans and arrangements, and building up its investigative teams and other required resources, with a view to having a full Integrated Team in place by 2017 in order to conduct the investigations most effectively. The Registry has prepared the ground for the Court's operations in Georgia, including all required services, from security to new logistical requirements. 112. The OTP will continue active investigations in Georgia throughout 2017 and will require enhanced support from the Registry. The level of cooperation that the OTP receives will in part determine the effectiveness of the investigations. 113. In order to provide the required level of support to these activities, it will be necessary for the Registry to set up a small field office in Tbilisi. The limited field presence will allow direct and immediate access to national and local authorities on whose cooperation and assistance the Court relies for the implementation of its operations in the country. The setting up of a Georgia Field Office will, however, allow the Court to reduce costs for travel from Headquarters, which would have been significantly higher without a permanent presence in the country. 114. It is estimated that a large number of victims will apply to participate in proceedings. The Registry will prioritize outreach activities in Georgia. For the purposes of witness protection, the Registry will at this stage establish a limited situational team for Georgia to begin building capacity to provide the required support. One of the main challenges for the new field office will be to establish and maintain secure communications. Investments at both Headquarters and in the field will be required for enhanced physical and information security to safeguard the confidentiality of sensitive operations. Language support will be required in Georgian, Ossetian and Russian. 22 10-E-170816 ICC-ASP/15/10 6. Situation in Kenya 115. Following preliminary examination, on 31 March 2010, the OTP was authorized to open an investigation proprio motu in the situation in the Republic of Kenya, in relation to crimes against humanity within the jurisdiction of the Court. The OTP's investigations focused on alleged crimes against humanity committed in the context of post-election violence in Kenya in 2007-2008. The investigation produced evidence on which charges were brought by the OTP for crimes against humanity of murder, deportation or forcible transfer of population, persecution, rape, and other inhumane acts. 116. Confirmation hearings were held in the case of The Prosecutor v. William Samoei Ruto, Henry Kiprono Kosgey and Joshua Arap Sang from 1 to 8 September 2011 and in the case of The Prosecutor v. Francis Kirimi Muthaura, Uhuru Muigai Kenyatta and Mohammed Hussein Ali, from 21 September 2011 to 5 October 2011. On 23 January 2012, the majority of Pre-Trial Chamber II (Judge Kaul dissenting) confirmed the charges against Ruto, Sang, Muthaura, and Kenyatta. Charges were not confirmed against Henry Kosgey and Mohammed Hussein Ali. 117. On 5 December 2014, the Prosecutor withdrew charges against Mr Kenyatta. The Prosecutor stated that, given the state of the evidence in the case against Kenyatta, she had no alternative but to withdraw the charges against Mr Kenyatta at that time. The Prosecutor's decision to withdraw the charges was taken without prejudice to the possibility of bringing a new case, should additional evidence become available. 118. On 5 April 2016, Trial Chamber V (A) vacated the charges against William Samuel Ruto and Joshua Arap Sang, without prejudice to the Prosecution bringing that case in the future, or in a different form, in the light of new evidence. The Chamber declined to acquit the accused due to the special circumstances of that case. 119. Additionally, three Kenyan nationals have been charged with alleged offences against the administration of justice (article 70), that is, corruptly influencing or attempting to corruptly influence the Court's witnesses in the Kenya cases. A warrant of arrest for Mr Walter Osapiri Barasa was issued on 2 August 2013. Mr Paul Gicheru and Mr Philip Kipkoech Bett are also charged with offences against the administration of justice pursuant to article 70 of the Statute. Warrants for the arrest of these two suspects were issued on 10 March 2015. The case remains at the pre-trial stage, pending the suspects' arrests or voluntary appearance before the Court. 120. Finally, litigation concerning cooperation between the OTP and the Government of Kenya is ongoing. On 19 August 2015, the Appeals Chamber remanded the matter to Trial Chamber V(B) to determine whether the Government of Kenya had failed to cooperate pursuant to article 87(7) and if so, whether or not to refer this to the Assembly of States Parties. That decision is pending. 121. Following these judicial developments, no further proceedings in relation to crimes under article 5 of the Statute will be taking place in 2017. The warrants of arrest for three individuals charged with offences against the administration of justice remain outstanding. As such, the Court's activities will be significantly curtailed in Kenya during 2017. Resources are still required for the ongoing article 70 investigations and prosecutions concerning alleged offences against the administration of justice. In addition, the Registry requires resources for the protection of witnesses at risk, an area in which the Court will continue to have responsibilities. 122. Unless unforeseen and compelling reasons dictate otherwise, the Court intends to close the field office in Nairobi in the course of 2017. Minimum capacity will be maintained for nine months to facilitate witness protection activities and prepare the closure of the field office. All residual functions pertaining to public information and outreach in Kenya will be handled from the Uganda Field Office. 7. Situation in Libya 123. The UN Security Council referred the situation in Libya since 15 February 2011 to the Court's Prosecutor (through its Resolution 1970 of 26 February 2011). Libya is not a State Party to the Rome Statute. 10-E-170816 23 ICC-ASP/15/10 124. On 3 March 2011, the OTP opened an investigation in the situation in Libya, in relation to crimes within the jurisdiction of the Court committed since 15 February 2011. The OTP's investigations led to three cases, on charges of murder and persecution. 125. On 27 June 2011, warrants of arrest were issued for Mr Muammar Gaddafi, Mr Saif Al-Islam Gaddafi and Mr Abdullah Al-Senussi. On 22 November 2011, the warrant of arrest for Mr. Muammar Gaddafi was withdrawn due to his death. On 11 October 2013, Pre-Trial Chamber I decided that the case against Mr. Abdullah Al-Senussi was inadmissible before the Court, a decision later confirmed by the Appeals Chamber thus bringing the proceedings against Abdullah Al-Senussi before the Court to an end. The Trial Chamber's decision recalled the possibility for the Prosecutor to request a review of the admissibility decision under article 19(10) of the Statute in the event that new facts emerge that negate the basis of the Chamber's decision. 126. On 31 May 2013, Pre-Trial Chamber I rejected a challenge filed by the Government of Libya to the admissibility of the case against Mr Saif Al-Islam Gaddafi, a decision later confirmed by the Appeals Chamber. The surrender of Mr Saif Al-Islam Gaddafi is therefore pending and the warrant of arrest remains to be executed. On 10 December 2014, Pre-Trial Chamber I issued a finding of non-compliance by the Government of Libya for its failure to cooperate with the Court, including its failure to surrender Mr Saif Al-Islam Gaddafi to the Court, and decided to refer the matter to the UN Security Council. In its response of 20 August 2015 to the Prosecution request, Libya submitted to the Court that "Mr Gaddafi continues to be in custody in Zintan and is presently `unavailable' to the Libyan State." 127. Since the issuance of the warrants of arrest, the OTP has continued to receive and process evidence on crimes committed in relation to the February 2011 revolution and more recent ones. While results are obtained at a slower pace than planned due to lack of sufficient resources and the prevailing precarious security situation in the country, the OTP has continued to carefully analyse and assess the evidence in its possession to determine whether the requisite legal standards are met to request additional warrants of arrest. It is also assessing the potential to expand its investigations into new crimes, such as those alleged to have been committed by the self-proclaimed Islamic State in Iraq and the Levant (ISIL) and Ansar Al-Sharia, while recalling that States have the primary responsibility to investigate and prosecute their nationals who have joined the ranks of ISIL, Ansar Al-Sharia and other militias operating in Libya. 128. There are currently no suspects or accused in relation to this situation appearing before the Court. However, in relation to the pending case against Mr Saif Al-Islam Gaddafi, limited financing through legal aid may be foreseen in this case for the defence team. 129. The OTP continues to carefully evaluate how to best utilize its limited resources to maximize its impact on the present situation in Libya. The investigative leads obtained and processed in the past months are connected both to its investigations into officials linked to the reign of Mr Muammar Gaddafi (some of whom are still involved in ongoing crimes), but also to the ongoing crimes in Libya, such as those alleged to have been committed by ISIL and Ansar Al-Sharia. 130. Besides holding perpetrators to account for past crimes, the current level of crime within Libya being committed by a variety of organizations and having an impact beyond the borders of Libya due to the transnational, organized, financial and terrorist nature of such crime, is also high. In order to maximize the impact of its activities, the OTP will continue its consultations with relevant international and regional partners and agencies for the purpose of exploring the possibility of cooperation, coordination and information sharing, where appropriate. 131. In relation to the situation in Libya overall, despite the OTP's plans to operate mostly from outside Libya, some witness protection measures will need to be provided by the Registry. 8. Situation in Mali 132. On 13 July 2012, the Government of Mali (State Party since 16 August 2000), referred the situation in its territory since January 2012 to the Court. After conducting a 24 10-E-170816 ICC-ASP/15/10 preliminary examination of the situation, the OTP opened an investigation on 16 January 2013 into the alleged crimes committed in the territory of Mali since January 2012. 133. On 18 September 2015, Pre-Trial Chamber I issued a warrant of arrest for Ahmad Al Mahdi Al Faqi for war crimes of intentionally directing attacks against historic monuments and buildings dedicated to religion. On 25 September 2015, Ahmad Al Mahdi Al Faqi was surrendered to the Court by the authorities of Niger and transferred to the Court's Detention Centre. 134. The initial appearance of Mr Al Mahdi before Pre-Trial Chamber I took place on 30 September 2015. On 1 March 2016, the confirmation of charges hearing took place, and on 24 March 2016, Pre-Trial Chamber I confirmed the charges of war crimes against Ahmad Al Faqi Al Mahdi, and committed him to trial. On 1 March 2016, Mr Al Mahdi expressed his intention to plead guilty. On 1 June 2016, Trial Chamber VIII, responsible for the case, fixed the date of 22 August 2016 for the commencement of the trial. 135. Throughout 2016, the OTP has continued to carry out investigations in respect of a wider range of war crimes in Mali with the aim of gathering evidence which could establish links with other perpetrators in the common plan. 136. Very limited activities are foreseen for 2017 in the Mali situation. In the light of recent judicial developments, the case of the Prosecutor v. Al Faqi Al Mahdi is likely to go to trial in 2016 and be completed by the end of the year. Thus there are currently no foreseeable judicial proceedings in the Mali situation in 2017. 137. At this stage, it is also foreseen that the ongoing investigation activities related to other crimes committed in Mali will have to be completed by 2016 in the light of the existing demand for the OTP's intervention in other situations. 138. The security situation in Mali remains grave, with frequent attacks against peacekeepers and humanitarian personnel being. According to the UN, 68 MINUSMA peacekeepers have lost lives during the operation, making it the deadliest active operation for the organization. The reality on the ground thus also poses significant security challenges for the operations of the Court. 139. The field office in Bamako is expected to support a limited OTP presence in the country for the first half of 2017. With the Al Mahdi case expected to be completed by the end of 2016, no judicial proceedings in relation to the situation in Mali are foreseen for next year at this stage. The Registry's responsibilities for the protection of witnesses will nevertheless continue in 2017, thus necessitating a field presence for operational support to the VWS. The continued violent attacks by terrorist groups against international staff working in Mali require adequate security arrangements to be in place for the Court's staff, property and assets. Outreach activities will likely be intensified in the light of the outcome of the trial proceedings in 2016. To this end, language support, as well as security support in the field, continues to be necessary. 9. Situation in Uganda 140. On 16 December 2003, the Government of Uganda referred the situation concerning the Lord's Resistance Army since 1 July 2002 to the Court. 141. On 29 July 2004, the OTP opened an extended investigation into the situation concerning northern Uganda with a focus on alleged war crimes and crimes against humanity, irrespective of who committed them. On 8 July 2005, Pre-Trial Chamber II issued warrants of arrest under seal - unsealed on 13 October 2005 - against top LRA commanders, namely Joseph Kony, Vincent Otti, Raska Lukwiya, Okot Odhiambo and Dominic Ongwen, for the commission of crimes against humanity and war crimes. The Chamber has since terminated proceedings against Raska Lukwiya and Okot Odhiambo due to their deaths. 142. On 16 January 2015, Dominic Ongwen was surrendered into the Court's custody and transferred to the Detention Centre on 21 January 2015. Dominic Ongwen's initial appearance before Pre-Trial Chamber II took place on 26 January 2015. On 6 February 2015, the Pre-Trial Chamber severed the proceedings against Dominic Ongwen from the 10-E-170816 25 ICC-ASP/15/10 case against Joseph Kony and Vincent Otti - who is presumed dead - so as not to delay the proceedings against Mr Ongwen. 143. On 21 December 2015, on the basis of the evidence collected, the Prosecutor charged Dominic Ongwen with a total of 70 counts of war crimes and crimes against humanity, thus expanding the initial seven counts set out in the warrant of arrest and the number of sites where those crimes were allegedly committed. The confirmation of charges hearing took place from 21 to 27 January 2016. On 23 March 2016, Pre-Trial Chamber II confirmed the 70 charges against Dominic Ongwen, and committed him to trial. The confirmed charges, which encompass crimes against humanity and war crimes allegedly committed in northern Uganda between 1 July 2002 and 31 December 2005, include sexual and gender-based crimes directly and indirectly committed by Dominic Ongwen, forced marriage, enslavement, conscription and the use of children under the age of 15 in hostilities. 144. The opening of the trial in the case of The Prosecutor v. Dominic Ongwen is now scheduled for 6 December 2016 before Trial Chamber IX, with the opening statements of parties to the proceedings. The Prosecutor's case will start and will be ongoing throughout 2017. 145. As the Ongwen trial will be running alongside the trial proceedings in both Ntaganda and Gbagbo and Blé Goudé, Registry courtroom support teams will be required to ensure proceedings can take place. It is expected that 165 days of planned trial hearings will be required in 2017 for Ongwen alone. Similarly, both Chambers and the OTP will continue to require, respectively, a dedicated trial team for the duration of this trial. 146. In relation to this case, the accused is detained in the Court's custody and his defence team is being financed through the Court's legal aid system. The approximately 2,000 victims participating in these proceedings are being represented both by external Legal Representatives and by the OPCV. An estimated 28 witnesses will appear to give testimony, with an average duration of five court-days per witness, while video link testimony remains an alternative. Two languages will be supported in the Courtroom: Acholi and Ateso. 147. To support activities in relation to this situation, the field presence in Kampala and Gulu will continue to be required in 2017. However, the presence of OTP staff in the field is expected to be reduced in both offices by approximately 50 per cent respectively. Outreach activities will be conducted by the Registry at key moments of the judicial process. Similarly, activities in relation to victims seeking to participate and participating in proceedings will need to be enhanced during the trial. To support field activities in relation to this situation, support in six situation languages will be required (Acholi, Alur, Ateso, Lango, Luganda and Luo). 26 10-E-170816 ICC-ASP/15/10 Table 2: Total ICC: Proposed budget for 2017 2015 Expenditures (thousands of euro) 2016 Approved Budget 5,369.1 50,824.4 23,408.0 64,522.8 21,312.5 841.9 502.2 22,656.6 5,963.3 35.3 3,687.6 726.5 488.8 3,030.2 1,233.6 17,272.3 764.3 1,547.3 34,749.2 126,832.0 248.7 71.2 441.2 3,720.3 5,361.1 5.0 1,847.3 323.6 1,579.5 783.3 1,579.5 64,522.8 22,892.0 841.9 502.2 24,236.1 6,746.6 35.3 4,011.2 726.5 493.8 4,877.5 1,233.6 17,521.0 835.5 1,988.5 38,469.5 132,193.1 74,232.4 19,919.6 1,156.5 412.9 21,489.0 5,097.2 31.1 4,078.5 749.2 441.5 4,521.4 1,963.2 19,761.2 844.8 1,012.0 38,500.1 139,590.6 Resource changes Amount 580.9 10,548.0 1,168.6 11,716.6 -2,867.2 371.1 17.4 -2,478.7 939.5 2.9 -457.6 146.7 262.8 -851.7 -760.4 311.8 199.5 1,035.1 828.6 10,647.4 Proposed 2017 estimates (thousands % of euro) 10.8 20.8 5.0 15.8 -14.4 32.1 4.2 -11.5 18.4 9.3 -11.2 19.6 59.5 -18.8 -38.7 1.6 23.6 102.3 2.2 7.6 5,950.0 61,372.4 24,576.6 85,949.0 17,052.4 1,527.6 430.3 19,010.3 6,036.7 34.0 3,620.9 895.9 704.3 3,669.7 1,202.8 20,073.0 1,044.3 2,047.1 39,328.7 150,238.0 Total ICC Judges Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Total 4,903.4 64,522.8 Cont. Fund 61.3 Total incl.CF 4,964.7 64,522.8 Table 3: Total ICC: Proposed staffing for 2017 Total P-staff P-1 and above GS-PL Total GS-OL GS-staff Total staff Total ICC Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 1 1 2 2 - 9 9 43 2 45 88 1 89 161 26 187 156 26 182 15 23 38 475 78 553 20 20 392 15 407 412 15 427 887 93 980 - - - - 1.05 1.05 5.05 2.50 60.00 12.00 54.42 7.83 20.00 42.25 31.00 6.00 21.00 16.00 151.51 28.33 66.50 113.34 4.67 0.03 4.70 57.43 22.54 19.00 60.97 62.10 22.57 19.00 65.67 213.61 50.90 85.50 179.01 1.00 24.50 6.55 47.50 10-E-170816 27 ICC-ASP/15/10 III. Proposed Programme Budget for 2017 A. Major Programme I: Judiciary Introduction 148. In 2017, the Judiciary will further consolidate the steady workload in the Divisions including reparations proceedings. The new permanent premises will, for the first time, enable the simultaneous use of three courtrooms. As a result of casework developments in 2015 and 2016, a minimum of three trials are expected to be at the trial hearing stage simultaneously, while work continues on other situations and cases at the pre-trial level. Final appeals on the merits in two cases are expected, in addition to appeals on reparations in multiple cases and an increased volume of interlocutory appeals generated by the ongoing trial casework. At the same time, work by the judges to improve the efficiency and timeliness of proceedings will continue, alongside efforts to ensure more flexible and efficient deployment of legal staff resources. 149. The budget for Major Programme I is based on the judicial activities required under the Court's budget assumptions for 2017, which were determined in an inter-organ effort. 28 10-E-170816 ICC-ASP/15/10 Table 4: Programme I Judiciary Judges Professional staff Major Programme I: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 4,903.4 4,407.4 Cont. Fund 61.3 Total incl.CF 4,964.7 4,407.4 2016 Approved Budget 5,369.1 4,442.3 913.6 4,407.4 1,401.8 56.5 4,407.4 1,458.3 5,355.9 1,474.6 Resource changes Amount 580.9 135.3 4.2 139.5 36.3 % 10.8 3.0 0.5 2.6 2.5 Proposed 2017 estimates (thousands of euro) 5,950.0 4,577.6 917.8 5,495.4 1,510.9 General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 193.3 10,905.9 117.8 193.3 11,023.7 100.0 1.1 100.0 1.1 1,401.8 72.2 6.1 4.1 9.8 56.5 1,458.3 72.2 6.1 4.1 9.8 1,474.6 99.6 12.0 5.0 22.0 10.0 77.4 5.0 36.3 30.4 2.5 30.5 1,510.9 130.0 12.0 5.0 6.0 27.3 28.0 10.0 20.0 25.8 97.4 5.0 231.0 12,430.6 56.4 813.1 24.4 6.5 287.4 13,243.7 Table 5: I Judiciary Major Programme I: Proposed staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 5.00 5.00 9.00 9.00 14.00 14.00 14.00 14.00 4 4 3 3 20 20 12 12 39 39 1 1 12 12 13 13 52 52 10-E-170816 29 ICC-ASP/15/10 1. Programme 1100: The Presidency Introduction 150. The Presidency has three strategic priorities reflecting its primary areas of responsibility: (a) Legal: to carry out its legal and judicial functions under the Statute, including the enforcement responsibilities foreseen under Part X of the Rome Statute; and to support continuing efforts to improve the efficiency and expeditiousness of proceedings; (b) Administrative: to provide efficient administrative and management support to the Judiciary and to contribute actively to the Court's governance under the Presidency's strategic leadership; to engage with the Assembly with a view to its management oversight role regarding the administration of the Court as provided under the Rome Statute; and (c) External relations: to maintain and increase international support for and cooperation with the Court; to encourage full implementation and global ratification of the Rome Statute; and to coordinate external relations activities within the Court. Presidency Objectives 1. 2. Within the Presidency's areas of responsibility, to contribute to ensuring the efficient conduct of pre-trial, trial and appeal proceedings. To push forward the "lessons learnt" review of judicial processes, focusing on procedures in trial preparation/hearing stages, victims, and the conclusion of trials and appeals, consulting States Parties, parties, participants and other stakeholders as appropriate. To ensure effective resource management, including identification and implementation of possible further efficiency measures, and improving the management of staff performance; and to develop appropriate performance indicators for judicial processes and relevant judicial support. To further improve the Court's budget processes in an inter-organ effort. To ensure efficient management of risks. Together with the other organs, to further improve dialogue between the Court, the Assembly and its sub-bodies. To promote confidence-building in the Court with States, international and regional organizations, NGOs and other key partners and stakeholders; to encourage effective cooperation with the Court; to use all opportunities to highlight to non-States Parties the benefits of joining the Court; and to conclude relevant agreements with States. 1,316.4 thousand 3. 4. 5. 6. 7. Budget resources 151. The requested amount has increased by 48.5 thousand (3.8 per cent). Presidency allowances 152. The proposed programme budget for 2017 includes 28.0 thousand to cover the special allowances of the President,10 and of the First or Second Vice-President if acting as President.11 The regular salaries of the three members of the Presidency are included in Sub-programme 1200. 10 11 Official Records ... Second session ... 2003 (ICC-ASP/2/10), part III.A.I.B. Ibid., part III.A.I.C. 30 10-E-170816 ICC-ASP/15/10 Staff resources 153. 1,136.5 thousand The Presidency comprises ten established posts and one GTA position (1.0 FTE). 1,013.7 thousand Established posts: Professional and General Service 154. The Presidency is led by one Chef de Cabinet (P-5) responsible for strategic direction for all Presidency staff and for representing the Presidency and Chambers in inter-organ work at senior official level. The Chef de Cabinet is assisted by one Legal Adviser (P-4) and one Associate Legal Officer (P-2), constituting the Legal and Enforcement Unit (LEU) responsible for coordinating and providing substantive legal support to the Presidency; one External Relations Adviser (P-3) and one Administrative Assistant for External Relations (GS-OL) supporting the President and the Presidency's external relations functions; one Special Assistant to the President (P-3) providing support to the President and the Presidency in the exercise of their responsibilities; one Associate Administrative Officer (P-2) providing technical and accounting support for the Judiciary budget and staffing; one Personal Assistant to the President (GS-PL), one judges' focal point Administrative Assistant (GS-OL), and one Administrative Assistant to the Chef de Cabinet (GS-OL) providing wide-ranging administrative and logistical support to the Presidency and Chambers. General temporary assistance 122.8 thousand 155. One Legal Officer, (P-3) 12 months. Continued. The Legal Officer in the Legal and Enforcement Unit provides substantive legal support to the Presidency, including continuing work on improving the efficiency of proceedings through "Lessons Learnt" in cooperation with the Assembly's Study Group on Governance, as well as functional requirements related to the enforcement of sentences. Given the heavy workload of the Presidency's legal staff, the continued support of the P-3 Legal Officer remains vital, especially given the continuing work on "Lessons Learnt". Non-staff resources 151.9 thousand 156. Non-staff resources are required for travel, hospitality, training and consultants. The amount has increased by 30.2 thousand due to higher travel expenses (below), amounting to a 24.8 per cent increase. Travel 125.9 thousand 157. The requested amount has increased by 30.2 thousand (31.6 per cent). The funds are required for all official travel by judges or staff in the Presidency and the Chambers, which is consolidated in the Presidency's travel budget.12 This budget is used to fund travel by the President, Vice-Presidents or other judges to represent the Court at important external events, and to fund a limited amount of travel by Presidency or Chambers staff required to support the external role of the Presidency or to provide expert contributions to external events - and in all cases only where funding from the organizers is not available. The increase is required. to cater for a limited number of Presidency members' travel costs to attend the sixteenth session of the Assembly which will be held in New York in 2017. Hospitality 10.0 thousand 158. The requested amount is unchanged from the amount approved in 2016 and is required for hospitality costs associated with visits of Heads of State or Government, ministers and other senior representatives of States to the President or the Vice-Presidents. The number of visits is likely to remain at a level comparable to that of 2016. The 12 The figure reflects the Assembly's endorsement of the recommendation of the Committee that the allocation previously reserved for judges' travel in Sub-programme 1200 (Chambers) be included in the Presidency's budget. (Official Records ... Ninth session ... 2010 (ICC-ASP/9/20), vol. I, part II.E. and vol. II, part B.2.D.1, para. 83.) There is no provision for any site visit in 2016. 10-E-170816 31 ICC-ASP/15/10 hospitality budget is also used to cover the the Presidency's and the Judiciary's contribution to Court events jointly funded by all organs. Training 6.0 thousand 159. The requested amount is unchanged from the amount approved in 2016. The Presidency continues to need a small budget for specialized training for its staff in 2017, mainly for specific training for the LEU on matters concerning enforcement of sentences, detention and prison monitoring; plus a small provision to improve working language skills. Consultants 10.0 thousand 160. The requested amount is unchanged from the amount approved in 2016 and is required for occasional expert advice on a range of specialist topics, given the Presidency's varied workload. With the growing number of final verdicts before the Court, expert advice continues to be required on the enforcement of sentences, in particular, issues of divergent national practice as regards conditions and eligibility for early release, other conditions regarding the length of convicted prisoners' sentences, and the review of prison conditions by international organizations. 32 10-E-170816 ICC-ASP/15/10 Table 6: 1100 The Presidency Judges Professional staff Programme 1100: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget 28 1,062.5 1,062.5 709.0 289.6 1,062.5 201.8 1,062.5 201.8 998.6 119.6 12.7 2.4 15.1 3.2 1.8 0.8 1.5 2.7 Resource changes Amount % Proposed 2017 estimates (thousands of euro) 28.0 721.7 292.0 1,013.7 122.8 General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 128.5 1,392.8 128.5 1,392.8 51.0 51.0 201.8 67.5 5.9 4.1 201.8 67.5 5.9 4.1 119.6 95.7 10.0 3.2 30.2 2.7 31.6 122.8 125.9 10.0 6.0 10.0 6.0 10.0 121.7 1,267.9 30.2 48.5 24.8 3.8 151.9 1,316.4 Table 7: 1100 The Presidency Programme 1100: Proposed staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 1.00 1.00 1.00 1.00 1.00 1.00 1 1 1 1 2 2 2 2 6 6 1 1 3 3 4 4 10 10 10-E-170816 33 ICC-ASP/15/10 2. Programme 1200 : Chambers Introduction 161. Under articles 34(b) and 36(1) of the Rome Statute, the Chambers are composed of 18 judges, distributed over three divisions: Pre-Trial, Trial and Appeals. In consultation with the judges, the Presidency decides on the assignment of judges to judicial divisions,13 and assigns situations and cases to the Pre-Trial and Trial Chambers. The Appeals Division deals with interlocutory and final appeals against decisions taken in the other divisions. 162. The Chambers are the judicial organ of the Court. As mandated in the Rome Statute, the main role of the Chambers is to ensure that the proceedings are "fair and expeditious" and "conducted with full respect for the rights of the accused and due regard for the protection of victims and witnesses."14 Objectives of Chambers 1. 2. To ensure efficient conduct of pre-trial, trial and appeal proceedings, making the best use of the new facilities in the permanent premises. To aim to reduce the length of proceedings by implementing the numerous reforms undertaken over the past year, such as through the continuous "lessons learnt" review of judicial processes, focusing on procedures in trial preparation/hearing stages, and subsequently on the conclusion of trials and appeals, including by issuing practice directives in practice manuals. To continue the development of performance indicators for judicial processes. To continue reviewing the new victim application system in consultation with the Registry. To ensure effective resource management. To further improve the management of staff performance through enhanced performance management. 5,922.0 thousand 3. 4. 5. 6. Judges' costs 163. The amount requested has increased by 580.9 (10.9 per cent). In terms of staff resources, the 2017 Judiciary budget represents a straightforward continuation of what the Assembly had approved for 2016, with a full complement of 18 judges for the whole of 2017, all on the revised pension scheme, with no further changes in the composition of the bench expected before March 2018. 164. For the first time in the 14 years of the Court's existence, the Judiciary budget includes a revision of the judges' remuneration in implementation of Resolution ICC-ASP/3/Res.3. The present "Conditions of service and compensation of judges of the International Criminal Court" ("Conditions of service") were adopted by the Assembly at its third session by Resolution ICC-ASP/3/Res.3 of 10 September 2004.15 The Conditions of service entered into force upon adoption of Resolution ICC-ASP/3/Res.316 and stipulate that "[t]he annual remuneration of a judge shall be 180,000 net."17 165. As regards potential review or amendment, the Conditions of service set out that they "shall be reviewed by the Assembly as soon as practicable following the review of the 13 14 See rule 4 bis of the Rules of Procedure and Evidence. Article 64(2) of the Statute. 15 Resolution ICC-ASP/3/Res.3, para. 22 and Annex. 16 The Conditions of service supersede the conditions of service and compensation of full-time judges set forth in Part III.A of document ICC-ASP/2/10, see Resolution ICC-ASP/3/Res.3, Annex, Section XII. 17 Resolution ICC-ASP/3/Res.3, Annex, Section III. (Emoluments), para. 1. Paragraph 2 stipulates that "[t]he President shall receive a special allowance paid at the rate of ten (10) per cent of the President's annual remuneration. Based on the remuneration above of 180,000 net, the special annual allowance shall be 18,000 net." 34 10-E-170816 ICC-ASP/15/10 conditions of service of the judges of the International Court of Justice by the General Assembly of the United Nations."18 166. To date, there has been no such review by the Assembly of the judges' Conditions of service in accordance with Section XIII of the Conditions of service, notwithstanding the repeated reviews of the conditions of service of the judges of the International Court of Justice ("ICJ") since 2004. The United Nations General Assembly reviewed the conditions of service and compensation for Judges of the ICJ in September 2004, July 2010 and again in July 2013.19 Annual remuneration for judges of the International Criminal Tribunal for the former Yugoslavia ("ICTY"), the International Criminal Tribunal for Rwanda ("ICTR") and the Special Tribunal for Lebanon ("STL") has also increased over the past years in accordance with their respective compensation schemes, which follow the ICJ model.20 The salaries of other elected officials at the ICC have also been regularly increased over the years (see Annex VI (f)). However, the salaries of the Court's judges have remained unchanged since 2002. 167. As a result, as of 2009 the Court's judges remuneration began to fall behind those of other international judges, despite there being no qualitative difference between their respective tasks. This difference in 2016 has accumulated to more than 26,000 per year (180,000 for a judge of the International Criminal Court, compared to 206,270 for a judge at other international courts/tribunals (see Annex VI (f)). 168. The requested adjusted annual remuneration of the Court's judges in implementation of Resolution ICC-ASP/3/Res.3, and the consequent salary alignment of the judges of the Court with the remuneration scheme of the judges of the ICJ and other international courts and tribunals, will amount to an increase in judges' costs of 580.9 thousand (10.9 per cent).21 Judicial priority - capacity for up to three courtroom teams 169. The overall workload of Chambers will slightly increase in 2017. The increase will be concentrated in the Trial Division, where a minimum of three cases are expected to be at the trial hearing stage throughout the year and reparation proceedings will be continuing in at least two cases. In the Pre-Trial Division, the two Pre-Trial Chambers are currently seized of 11 situations, and 13 warrants of arrest issued against 12 persons remain to date unexecuted. Work will continue on those situations and cases. The focus of the Appeals Division will lie in the final appeals arising from the verdicts and any related decisions in Bemba as well as in Bemba et al., i.e. the article 70 proceedings against five accused. In addition, the reparation decisions/orders in Katanga, Lubanga and Bemba will potentially lead to additional appeals, while the workload in relation to interlocutory appeals is hard to predict and accordingly expected to remain at its average level. 170. The most striking feature of envisaged activities for 2017 will be three parallel trial proceedings requiring adequate provision of courtroom time as well as team support from the Registry in order for the trials to be able to proceed simultaneously where necessary. In 2016, considering that only two courtrooms were available in practice, in the absence of a third available courtroom team the judges of three Trial Chambers were constrained to suspending their respective proceedings (Ntaganda, Gbagbo and Blé Goudé, and Bemba et al.) at certain points following a rotating schedule and consulting amongst themselves on an ongoing basis to determine their sitting schedule. This slowed down all three cases which is problematic in view of an accused's right to a fair and expeditious trial as well as the 18 Resolution ICC-ASP/3/Res.3, Annex, Section XIII. (Revisions). The Conditions of service also provide that "[p]ensions in payment shall be automatically revised by the same percentage and at the same date as remuneration adjustments.", ibid., Section V. (Pension scheme), para. 2. 19 See Conditions of service and compensation for officials other than Secretariat officials: members of the International Court of Justice and judges and ad litem judges of the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda, A/65/134, Report of the Secretary-General of 15 July 2010; ibid., A/68/188, Report of the Secretary-General of 25 July 2013. 20 Article 13(3) of the ICTY statute provides that the terms and conditions of service of its judges shall be the same as those for the judges of the ICJ. Article 12bis(3) of the ICTR statute links the terms and conditions of service of its judges to those of the ICTY. The STL follows a comparable regime leading to similar salaries. 21 This amount is constituted by an approximative amount of 472.9 thousand following the alignment of the salaries of the Court's judges with the remuneration scheme of the judges of the ICJ; an additional estimated 72.5 thousand for necessary pension alignments as per Resolution ICC-ASP/3/Res.3, Annex, Section V, para. 2; and other relevant cost items regarding judges' entitlements. 10-E-170816 35 ICC-ASP/15/10 increased costs per trial, particularly where the accused's defence is covered by legal aid paid by the Court. In 2017, it is expected that three parallel trial proceedings (Ntaganda, Gbagbo and Blé Goudé and Ongwen) will need to run simultaneously at times, making sufficient courtroom support from the Registry an absolute priority in order to avoid undue delays in the proceedings. At the same time, the Chambers are doing their outmost to schedule trial hearings in the most efficient way so as to be able to sit as much as possible without the permanent provision of a third courtroom team. The scheduling exercise was facilitated through calculations carried out for the purpose of optimized courtroom usage as part of the present Court-wide basic size exercise. Improving the efficiency of the current legal staffing structure 171. As part of its mission to improve the efficiency of judicial proceedings, the Presidency, in consultation with the Presidents of the Divisions, has continued to seek the most effective way of distributing legal support staff across the Divisions and Chambers, according to improved and streamlined working methods. A key criterion is the flexible deployment of staff to meet changing casework needs, coupled with effective coordination between the Divisions. It is expected that the new Head of Chambers will contribute to improving coordination and communication between Divisions and provide overall managerial leadership, reinforcement and support for the Chambers' legal staff. 172. Another key development has been the more flexible assignment of staff members, both those in established posts and general temporary assistance resources, across the Divisions and Chambers. The majority of all legal support staff are presently involved in more than one case as a result of a team-per-case approach. The levels of involvement of such staff members differ according to the specific requirements of the cases and Chambers, and are dependent on the procedural phase of the case. Resources have been assigned more flexibly across Divisions, thereby leading to a diversification of skills and experience of staff and positively impacting on the general dynamic. 173. It is expected that the continuous flexible assignment of available legal staff will lead to further efficiencies within Chambers through increased staff output and an improvement in the skills of individual staff members. Therefore, in 2017 the Judiciary will request no additional staff resurces over and above the approved staffing level for 2016, despite an expected increase in activities, in particular in the Trial Division and the Appeals Division. It is stressed, however, that this calculation is based on a high level of inter-chamber flexibility with the number of fully operational and well-trained staff currently on board. Any reduction in this staffing level would cause an imbalance in the system and create shortcomings and disruptions in workflows. 174. While the allotment of general temporary assistance in terms of staff resources is still indicated per Division, this merely serves as a nominal indication of where such resources may prove to be needed most throughout the year. In reality, resources will be allocated to the Divisions on a needs basis, in response to judicial developments during the year which are expected to peak at different times in the respective Divisions. Budget resources 11,527.0 thousand 175. The requested amount for Chambers (covering judges, established posts, general temporary assistance and non-staff costs) has increased by 734,2 thousand (6.8 per cent). Fuller details of judges' costs are given in Annex VI (e). Staff resources (total for three Divisions) 5,582.0 thousand 176. The case workload considerations driving the planned deployment of established posts and the requirements for general temporary assistance are outlined in Part I of this document and briefly recalled below. Of the above total of 5,582.0 thousand, the overall funds required for general temporary assistance amount to 1,388.1 thousand. There will be no increase in staff, either in established posts or general temporary assistance positions. 36 10-E-170816 ICC-ASP/15/10 177. The post of Head of Chambers (P-5) is an inter-divisional resource and therefore not part of the headcount per Division as outlined below.22 Pre-Trial Division Introduction 178. The Pre-Trial Division handles all requests regarding the initiation of an investigation or the preservation of evidence during the investigation and the entire first phase of judicial proceedings, up to the confirmation, if any, of the charges on which the case against the person(s) charged proceeds to trial. 179. Six judges are currently assigned to the Pre-Trial Division. Two judges assigned to the Pre-Trial Division are temporarily attached to the Trial Division and do not serve in any of the Pre-Trial Chambers. All remaining Pre-Trial judges are simultaneously assigned to sit in one or both Pre-Trial Chambers and also in one or more Trial Chambers. Pre-Trial judges have also been temporarily assigned to the Appeals Division to hear interlocutory appeals. Activity assumptions 180. The Pre-Trial Chambers are currently seized of eleven situations with continuing activity, namely Uganda; the Democratic Republic of the Congo; Darfur; the Central African Republic I; Kenya; Libya; Côte d'Ivoire; Mali; the Registered Vessels of the Union of the Comoros, the Hellenic Republic and the Kingdom of Cambodia; the Central African Republic II; and Georgia. Significant activity is expected to continue in all situations, particularly in the situations in Mali, Libya, Darfur, Central African Republic II and Georgia. 181. The nature of proceedings before the Pre-Trial Chambers is such that requests for warrants of arrest, initial appearances, new applications for the initiation of investigations with regard to preliminary examinations conducted by the Office of the Prosecutor and other requests cannot be foreseen. The situations of which the Pre-Trial Chambers are seized in 2016 may result in further applications being presented to the Pre-Trial Chambers by parties and participants in the various proceedings in 2017. Moreover, any of the 12 persons for whom warrants of arrest have been issued by Pre-Trial Chambers may be arrested and surrendered to the Court at short notice, as has happened twice in recent years, in the cases of Bosco Ntaganda and Dominic Ongwen respectively. As a result, the Pre-Trial Division can only draw on the experience of previous years to arrive at its assumptions for 2017. Established posts: Professional and General Service 182. The Pre-Trial Division currently comprises twelve established posts: one Senior Legal Adviser (P-5), six Legal Officers (P-3), four Associate Legal Officers (P-2)23 and three Administrative Assistants (GS-OL). In line with the Judiciary's policy of flexible allocation of resources, none of the Legal Officers (P-3) or Associate Legal Officers (P-2) is currently working full-time for the Pre-Trial Division. Some are working full-time for the Trial Division, while the others are working simultaneously on cases or requests either at the pre-trial or trial stages of the proceedings. 22 For a more detailed outline of the Head of Chambers' tasks and assignments, refer to ICC-ASP/14/10, Proposed Programme Budget 2016 for the International Criminal Court, paras. 68-69, 73, 87 (the post was approved by the Assembly in 2015 and the narrative remained unchanged in the approved budget). 23 Of these posts, in 2016, two have been converted from GTA to an established post and one has been reclassified from GS-OL. 10-E-170816 37 ICC-ASP/15/10 General temporary assistance 183. General temporary assistance remains unchanged.24 Following conversion in 2016 of two GTA funded Associate Legal Officer (P-2) positions into established posts, the remaining GTA resources requested last year for the Pre-Trial Division (altogether six months of GTA resources at the P-1/P-2 level) have been assigned to the Trial Division as this is where the heaviest workload is expected next year. In any event, GTA resources are used flexibly across all Divisions as explained above. Trial Division Introduction 184. The Trial Division is composed of the Trial Chambers, whose mandate is to conduct trials, following confirmation of charges by the Pre-Trial Chambers. The mandate continues until the conclusion of the reparation phase. In conducting the trials, the Chambers are required to ensure, in accordance with article 64 of the Rome Statute, 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. 185. The Trial Division is currently composed of seven judges assigned in various combinations to nine trial chambers. An additional six judges normally assigned to the Pre-Trial Division have also been temporarily assigned to sit in Trial Chambers for the duration of the specific cases to which they have been assigned. Trial judges are also being temporarily assigned to the Appeals Division to hear interlocutory and final appeals. Activity assumptions 186. The Trial Division currently has active proceedings before seven Chambers, namely Lubanga, Katanga and Bemba (reparations), Ntaganda, Bemba et al. (Article 70), Gbagbo and Blé Goudé, Al Mahdi and Ongwen. Of these, one (Bemba et al.) is currently at the final judgment writing stage, two (Ntaganda and Gbagbo and Blé Goudé) are in trial hearings, while the fourth (Ongwen) is due to start trial hearings in December 2016. The case of Al Mahdi (plea pursuant to article 65 of the Rome Statute) is due to commence in August 2016. Reparation proceedings may take place in 2016, continuing into 2017. In addition, another Trial Chamber is considering reparations in Katanga and in Lubanga. Finally, reparations proceedings in Bemba before a separate Trial Chamber will continue into 2017. 187. The Bemba et al. Trial Chamber is expected to issue its article 74 judgment by the third quarter of 2016, with possible sentencing proceedings following thereafter, to be concluded by the end of 2016. The Ntaganda and Gbagbo and Blé Goudé trials are expected to run throughout 2017. The trial in Ongwen is expected to run throughout 2017. 188. The three trials expected to be at the trial hearing stage in 2017 will represent an unprecedented workload for the Trial Division, given their contextual and temporal scope (18 counts in Ntaganda, four counts in Gbagbo and Blé Goudé, and 70 counts in Ongwen), the volume of evidence expected to be presented, and generally, the significant complexity of these cases. 189. The combined effect of these three simultaneous trials, as well as continuing work on reparations, will represent a challenge in terms of legal support staff. Chambers will continue to deploy both established and GTA staff flexibly during the year, and the P-5 Head of Chambers will play a vital role in ensuring that changing workload needs are met across all three Divisions. Given, however, that no increase in GTA support for the Pre-Trial, Trial or Appeals Divisions is being sought, it will be essential that the majority of existing GTA support in Chambers be deployed in the Trial Division itself, as set out below. 24 While six months of GTA resources have been shifted from the Pre-Trial to the Trial Division, the overall GTA allotment for the Judiciary has remained unchanged from the approved 2016 level. 38 10-E-170816 ICC-ASP/15/10 Established posts: Professional and General Service 190. The Trial Division comprises 15 posts: one Legal Adviser (P-4), seven Legal Officers (P-3), assigned to assist the judges, four Associate Legal Officers (P-2)25,, and three Administrative Assistants (GS-OL). Given the current heavy caseload, a number of Pre-Trial staff members are also presently assisting the Trial Division on a full-time or part-time basis. 191. The pressure on established staff resources will, however, grow further as three complex cases will be at the trial hearing stage in 2017 (see above). The new P-5 Head of Chambers is expected to help by strengthening the limited existing Division capacity for senior-level legal advice (currently just one P-4) as part of the functions of the role. The work of the Division will, however, remain critically dependent on the availability of sufficient GTA support, partly at P-3 level but especially at the P-2 level. General temporary assistance 192. General temporary assistance is unchanged.26 Given the expected overall workload, the following GTA resources, on the basis of those approved in the 2016 Programme Budget, are required as follows: (a) Two Legal Officers (P-3), 12 months each. Continued. As in previous years, 24 months of GTA resources at P-3 level continue to be necessary due to the continued need for the reinforcement of trial teams by more experienced legal resources to coordinate and supervise the teams and assist with specific assignments in current cases; and (b) Eight Assistant/Associate Legal Officers (P-1/P-2) funded for a total of 96 work months. Continued. This total will allow each of the three active trials to be supported by an average of five legal staff on the technical level, with a further one P-2 (1.0 FTE) allocated to support current and expected reparations proceedings. The total of 96 work months contains six months of GTA resources at P-1/P-2 level that had been approved for the Pre-Trial Division in 2016 and which have been moved from Pre-Trial to Trial. 193. The continued GTA P-2 positions will be required, inter alia, for the following specific activities: analysing and summarizing the large volume of evidence submitted by the parties; legal analysis and preparation of draft decisions on any issue emerging during the proceedings; in-depth research on the law applicable to the crimes charged, as well as procedural and other issues raised in the proceedings; analysis of victims' applications for reparations; attending trial hearings and preparing procedural summaries of the hearings; liaising with the Registry, parties and participants; drafting instructions for issue by the Chamber; and assisting the judges in drafting parts of the legal and factual sections of final judgments. Appeals Division Introduction 194. The Appeals Division is composed of five judges, one of whom is the President of the Court. The principal statutory function of the Appeals Chamber is to hear final appeals against decisions on acquittal or conviction and sentence, and potentially reparations at the end of a trial, as well as interlocutory appeals against certain decisions of the Pre-Trial and Trial Chambers made in the course of proceedings. Final appeals involve a substantially greater workload than interlocutory appeals, as the entirety of the trial proceedings, including the evidence admitted, may have to be reviewed, and additional evidence may have to be assessed. At the same time, some interlocutory appeals may raise complex and important issues and their outcome may have a significant impact on the Court as a 25 This figure includes (i) two newly converted posts from GTA and (ii) one reclassified from Research Assistant (GS-OL). 26 While six months of GTA resources have been shifted from the Pre-Trial to the Trial Division, the overall GTA allotment for the Judiciary has remained unchanged from the approved 2016 level. 10-E-170816 39 ICC-ASP/15/10 whole.27 The Appeals Chamber may also be seized of other matters, such as requests for a reduction of sentence. Activity assumptions 195. It is anticipated that in 2017 the Appeals Chamber will continue to be seized of the appeals arising from the conviction and sentencing decisions of the Trial Chamber in Bemba. Written and oral submissions in the relevant appeals are expected to close only in the course of 2017 and the case file embracing eight years of pre-trial and trial proceedings, as well as the evidentiary basis of the conviction decision are very large. Due to this complexity, the workload resulting from these appeals is expected to be high. 196. It is assumed that appeals will be filed against the verdict and related decisions, if any, in the Bemba article 70 (offences against the administration of justice) proceedings that are expected to be rendered in 2016. Accordingly, in 2017 the Appeals Chamber will be seized of those appeals that are expected to be extensive, primarily because of the number of accused persons (five). 197. Further, the Appeals Chamber may need to hear appeals against the reparation decision/order in Katanga as well as in Bemba, expected in 2016/2017. The continuing Lubanga reparation proceedings may also create further litigation on the appeals level in 2017. 198. It is assumed that the workload arising from the various final and interlocutory appeals expected for 2017 will be higher than in previous years and that proceedings will need to proceed in parallel.28 For that reason, there will be periods where additional staff from other Divisions will be required to work on appeals in order to address them as expeditiously as possible. Established posts: Professional and General Service 199. The Appeals Division comprises ten posts in the professional and general service categories: one Legal Adviser (P-4), five Legal Officers (P-3), two Associate Legal Officers (P-2)29, and two Administrative Assistants (GS-OL). General temporary assistance 200. General temporary assistance remains unchanged. 30 Given the workload assumptions for 2017, a total of at least ten P-grade staff members at the P-3 and P-2 levels are required to cover final and interlocutory appeals; at times additional P-2/P-3 grade staff members may be required that can be flexibly assigned from other Divisions. These assumptions make the continuation of previously approved GTA resources essential to the efficient functioning of the Appeals Division. The GTA resources at issue are as follows: (a) (b) Two Legal Officers, (P-3), 12 months each. Continued. One Associate Legal Officer (P-2), 12 months. Continued. 201. In the light of the expected workload, the Appeals Division will continue to require 24 months of GTA resources at the P-3 level and 12 months at the P-2 level to cover final appeals, in particular the Bemba and Bemba et al. appeals, and potential reparation appeals in Katanga, Lubanga and Bemba, in addition to the workload generated by interlocutory appeals. 202. Typical tasks of GTA resources are largely comparable to those in the Pre-Trial and Trial Chambers and include, but are not limited to, in-depth legal research on substantive and procedural issues raised on appeal; assessing and summarizing the parties' appeals 27 See, for example, The Prosecutor v. Saif Al-Islam Gaddafi and Abdullah Al-Senussi, "Judgment on the appeal of Libya against the decision of Pre-Trial Chamber I of 31 May 2013 entitled `Decision on the admissibility of the case against Saif Al-Islam Gaddafi'", 21 May 2014, ICC-01/11-01/11-547-Red. 28 Around eight interlocutory appeals per year can be expected requiring consideration of the appeals' merits. 29 This figure includes one post reclassified from Research Assistant (GS-OL). 30 While six months of GTA resources have been shifted from the Pre-Trial to the Trial Division, the overall GTA allotment for the Judiciary has remained unchanged from the approved 2016 level. 40 10-E-170816 ICC-ASP/15/10 submissions; assisting the judges in drafting parts of the appeals decisions; liaising as necessary with the Registry, parties and participants; participating in meetings of the judges; preparing and rendering in-court support for appeals hearings, being assigned to individual appeals judges. Non-staff resources 23.0 thousand 203. Non-staff resources are required for hospitality and training; they have increased by 6.0 thousand (35.3 per cent) due to increased training needs (below). In accordance with the recommendations of the Committee, as endorsed by the Assembly, the budgetary provision for judges' travel has been included in the Presidency's budget. 31 204. There is no provision for any judicial site visit in 2017. 1.0 thousand Hospitality 205. The requested amount remains unchanged from the approved amount in 2016 and is requested for necessary hospitality costs associated with visits to judges by diplomatic and other important visitors, such as renowned legal scholars and personalities from the international legal community. Training 22.0 thousand 206. The requested amount has increased by 6.0 thousand (37.5 per cent) and is required mainly for training aimed at strengthening linguistic and drafting capacities in the French language in view of the specific requirements of current casework in all three Divisions, as well as training in specialized legal matters for Chambers staff, specifically in the areas of international humanitarian law, international criminal law and human rights law, as well as new developments such as the handling of electronic or digital evidence. 31 Official Records ... Ninth session ... 2010 (ICC-ASP/9/20), vol. I, part II.E. and vol. II part B.2.D.1, para. 83. 10-E-170816 41 ICC-ASP/15/10 Table 8: 1200 Chambers Judges Professional staff Programme 1200: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 4,903.4 3,060.1 Cont. Fund 61.3 Total incl.CF 4,964.7 3,060.1 2016 Approved Budget 5,341.1 3,530.6 549.1 3,060.1 1,200.0 56.5 3,060.1 1,256.5 4,079.7 1,355.0 114.2 33.1 2.8 2.4 Resource changes Amount 580.9 114.2 % 10.9 3.2 Proposed 2017 estimates (thousands of euro) 5,922.0 3,644.8 549.1 4,193.9 1,388.1 General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 10.0 9,173.5 117.8 10.0 9,291.3 9.8 9.8 0.2 0.2 1,200.0 56.5 1,256.5 1,355.0 33.1 2.4 1,388.1 1.0 1.0 16.0 6.0 37.5 22.0 17.0 10,792.8 6.0 734.2 35.3 6.8 23.0 11,527.0 Table 9: 1200 Chambers Programme 1200: Proposed staffing for 2017 Total P-staff and above Total GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 GS-PL GS-OL Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 4.00 4.00 9.00 9.00 13.00 13.00 13.00 13.00 2 2 2 2 18 18 10 10 32 32 8 8 8 8 40 40 42 10-E-170816 ICC-ASP/15/10 3. Programme 1300: Liaison Offices - the New York Liaison Office Introduction 207. The New York Liaison Office (NYLO) contributes to the objectives of the Court by enhancing interaction and facilitating cooperation between the Court and the United Nations and its programmes, funds and offices. The office is constantly engaged with the United Nations Secretariat and its programmes, funds and offices to resolve issues of operational cooperation and to explore ways of strengthening cooperation between the two organizations. NYLO also engages with the various political organs of the UN and the UN member states, represents the Court in relevant meetings and monitors and reports on UN developments of relevance to the Court, intervening where necessary. 208. The NYLO is administratively supported by the Presidency, but serves and represents all organs of the Court, providing them with practical administrative, logistical and operational support for their various activities at the UN. Furthermore, the NYLO disseminates information and updated reports from the Court to the United Nations community in New York, to keep delegations and other stakeholders abreast of relevant developments within the Court. The NYLO also provides logistical support to and represents the Court in inter-sessional meetings of the Bureau and other subsidiary bodies of the Assembly held in New York. Objectives 1. To facilitate effective cooperation between the Court and the UN and its programmes, funds and offices; to promote confidence in the Court with States, international organizations, NGOs and other stakeholders in New York. To contribute to improving the effectiveness and efficiency of dialogue between the Court and the Assembly of States Parties and its subsidiary bodies. To provide practical and logistical support to the Assembly, the Bureau and the New York Working Group. 400.3 thousand 2. 3. Budget resources 209. The requested amount has increased by 30.4 thousand (8.2 per cent). 287.8 thousand Staff resources 210. The NYLO has two established posts. The requested amount has increased by 10.2 (3.7 per cent). Established posts: Professional and General Service 287.8 thousand 211. The NYLO is currently staffed by one Head of Office (P-5) handling all the substantive work of the office, and one Administrative Assistant (GS-OL) who provides support on all administrative and logistical matters. As a result of the NYLO's limited staffing, the Head of Office focuses on the most essential tasks: pursuing the most urgent requests for cooperation with the United Nations; establishing and maintaining formal contacts and informal networks with the United Nations Secretariat and Permanent Missions; monitoring and reporting to the Court on United Nations activities of concern to the Court; and arranging visits of Court officials to the Organization. Non-staff resources 112.5 thousand 212. The requested amount has increased by 20.2 (21.9 per cent). Non-staff resources are required for travel, hospitality, contractual services, general operating expenses and supplies and materials. The increase is due to the fact that in 2016, the NYLO had to move into a different office space with a new and more expensive rental contract, owing to the increased price of rental space in New York. 10-E-170816 43 ICC-ASP/15/10 Travel 4.1 thousand 213. The requested amount has increased by 200 (5.1 per cent) compared to what was approved in 2016 and will be sufficient to fund one trip to Headquarters in The Hague. Hospitality 214. The requested amount is unchanged from 2016. 5.0 thousand 1.0 thousand Contractual services 215. The requested amount remains unchanged from the approved 2016 budget and is required for continued legal advice such as on the rental agreement. General operating expenses 97.4 thousand 216. The requested amount has increased by 20 thousand (25.8 per cent) and is required for rental of premises and office running costs. Provision for the rental payment has been increased to accommodate a rent increase following changes in the ownership and management of the office building in which the NYLO is located. Supplies and materials 217. 5.0 thousand The requested amount is unchanged and required for the purchase of office supplies. 44 10-E-170816 ICC-ASP/15/10 Table 10: 1300 Liaison Offices Judges Professional staff Programme 1300: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget Resource changes Amount % Proposed 2017 estimates (thousands of euro) 284.8 284.8 202.7 74.9 8.4 1.8 10.2 4.1 2.4 3.7 211.1 76.7 287.8 General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 54.8 339.6 54.8 339.6 49.0 1.1 49.0 1.1 4.7 4.7 284.8 284.8 277.6 3.9 1.0 5.0 0.2 5.1 4.1 1.0 5.0 77.4 5.0 20.0 25.8 97.4 5.0 92.3 369.9 20.2 30.4 21.9 8.2 112.5 400.3 Table 11: 1310 New York Liaison Office Programme 1300: Proposed staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 1 1 1 1 1 1 1 1 2 2 10-E-170816 45 ICC-ASP/15/10 B. Major Programme II: Office of the Prosecutor Introduction 218. In implementing the Strategic Plan for 2016-2018,32 the Office of the Prosecutor ("the Office" or "OTP") continues to set priorities by balancing, as best as possible, operational demands against the resources made available by the States Parties. 219. The Office adopts maximum flexibility in the use of resources to complete ongoing work and absorb new cases that are brought to its attention. However, it must have the capacity to respond efficiently and effectively in those situations in which it intervenes. 220. Support for cases that are being prepared for trial or that are at the trial stage is always the OTP's top priority. At the same time, as the Court often operates in highly volatile political and security environments, focus and resources are also devoted to active investigations in order to capitalize on opportunities when this is still achievable. 221. The States Parties have supported the Office and the implementation of its Strategic Plan through an increase in resources. This increase has, in effect, facilitated the Office's efforts to start properly staffing its teams, to collect more diverse evidence and generally, to ensure more effective and efficient investigations and prosecutions. 32 ICC-ASP/14/22. 46 10-E-170816 ICC-ASP/15/10 222. However, the OTP has to constantly reassess the prioritization of its work and sequence other pressing activities in order to make the best use of available resources, while meeting, to the extent possible, the demands that continue to be placed upon it. 223. Success in the OTP's cases is key to enhancing the Court's credibility and delivering on its promise to do justice. The investment made by States Parties in the Court is indeed showing positive returns. 224. The evaluation of the implementation of the 2012-2015 Strategic Plan presented to the Committee on Budget and Finance ("the Committee") at its latest session in April 201633 reveals that the plan has produced positive results. 225. The new OTP Strategic Plan for 2016-2018 builds upon the success of the 2012-2015 Strategic Plan while maintaining its shift in prosecutorial policy, which has proven in practice to yield practical and positive results. 226. In 2016, a number of distinct achievements, including some which are only recent but which are clearly the result of the Strategy that has been applied since 2013, have proven to be particularly significant for the OTP: (a) Six new preliminary examinations started and another six completed: three led to the opening of an investigation: Mali; Central African Republic II; and Georgia; (b) The decision in Bemba: this decision confirmed the importance for the law of command responsibility; the dimension of addressing Sexual and Gender Based Crimes (SGBC) in the OTP's work; and the preventive goal of the Court's mandate; (c) Confirmation of the expanded list of charges in Ongwen: confirmation demonstrates the efficiency and level of professionalism of the OTP's investigations and the possibility of bringing hibernated cases to trial quickly, and illustrates the importance of the child soldier and SGBC features of the case; (d) Confirmation of charges in Al Mahdi: confirmation of the charges will have a significant impact in addressing the destruction of cultural property as a war crime. Following an indication by the accused of his wish to plead guilty, it will also offer the Court its first important opportunity to apply article 65 of the Rome Statute; (e) The swift conclusion of the evidentiary hearing in Bemba et al. (article 70): large amounts of IT-forensic, documentary and other diversified, non-witness based evidence was presented; (f) The relatively smooth presentation of the prosecution evidence in Ntaganda and Gbagbo and Blé Goudé; and (g) Steady progress in the CAR II investigations, which continue to enjoy the momentum built up by good cooperation on the part of the situation country, but also on the part of various international actors. 227. There are other successes too, resulting from improved management and operational effectiveness: (a) (b) OTP's annual activity assumptions met or even exceeded; OTP Core Values of Dedication, Integrity and Respect rolled out; (c) Integration and function of Integrated Teams improved and more senior trial lawyers recruited to lead the teams; (d) Communication in the preliminary examination process enhanced, thereby contributing to increasing the Office's preventative impact; (e) OTP structures optimized to enhance effectiveness (e.g.: changes in the Investigation Division: Investigation Analysis Section (IAS) and Forensic Sciences Section (FSS); (f) Training sessions delivered as planned ; 33 CBF/26/6, 7 March, 2016. 10-E-170816 47 ICC-ASP/15/10 (g) OTP Performance Dashboard developed to monitor progress in the OTP's performance through a set of indicators; (h) Investment made in new technologies in coordination with the Registry's Information Management Services Section (IMSS) to ensure long-term operational and financial sustainability of the projects and compatibility with the Court's overall infrastructure; (i) (j) Evidence collection diversified; High investigative operating standards established; and (k) Policies which bring more transparency and visibility to the strategic priorities of the Office and can also assist efforts at the national level (e.g., SGBC Policy, draft Policy on Children, draft Case Selection and Prioritization Policy) developed and implemented. 228. The OTP budget proposal for 2017 continues to be based upon two main interlinked premises: (a) (b) The new OTP Strategic Plan for 2016-2018 ; and A genuine and realistic assessment of the OTP's resource needs for 2017. 229. The OTP Strategic Plan, its budget and its performance indicators have been fully integrated within this budget proposal. Integration with the Court-wide strategic plan has been established only at the highest level of the three strategic goals, given that its content and format are under review. 230. The budget request is based on a realistic assessment of the resources the Office needs to meet the demand for its intervention in 2017. Parameter Number of planned Court hearings in 12 months Number of situations Number of active investigations Number of cases pending arrest Number of preliminary examinations Number of trial teams (OTP) Number of final appeals 2016 465 8 4.5 9 9 5 1 Total 2017 PPB 500 9 6 9 9 3 34 35 36 37 38 39 2 231. The Office continues to take measures, to the extent possible within its mandate, to promote complementarity and, by doing so, reduce the need for its direct intervention. In this regard, preliminary examinations remain key to promoting national proceedings. 232. Similarly, the Office will strive to reduce the need for its intervention in cases involving offences against the administration of justice under article 70 of the Rome Statute. 34 Given the number of judges at the Court, the fact that under the Rome Statute a judge who has sat in pre-trial proceedings in a case cannot sit in the trial of the same case, and the availability of three courtrooms in the new permanent premises, it is not realistically possible for Judges involved in more than one trial to sit in two separate cases on the same day for extended periods. The scheduling of hearings has therefore been adjusted as follows: · Hearing blocks: five weeks on, one week off. · Number of hearing per courtroom: CR1 175, CR2 165, and CR3 160 = 500 in total (max.) 35 Central African Republic (CAR), Côte d'Ivoire (CIV), Libya (LBY), Darfur (SUD), Democratic Republic of the Congo (DRC), Mali (MLI), Kenya (KEN), Uganda (UGA) and Georgia (GEO). 36 CAR II. (a) (Séléka); CAR II. (b) (anti-balaka); CIV II; SUD; LBY 3; GEO. 37 LBY 1, LBY 2, SUD 1, SUD 2&4, SUD 3, CIV 1Bis (SG), DRC 3&4, KEN Art.70, and UGA (Kony). 38 Afghanistan, Burundi,Colombia, Guinea, Iraq, Nigeria, Palestine, Comoros and Ukraine. 39 CIV 1 (LG and CBG), DRC 6 (Bosco Ntaganda), UGA (Dominic Ongwen). For the OTP there is no difference in team composition (and therefore in financial impact) between Trial Teams engaged in the court-room and Trial Teams engaged in trial preparation. 48 10-E-170816 ICC-ASP/15/10 233. Mindful of its mandate under the Rome Statute and the need to focus its efforts on the prosecution of core crimes, the Office will resort to article 70 prosecutions only as a function of the impact of interference with the administration of justice upon a particular case before the Court and when it has formed the view that the criminality in question cannot be properly addressed at the national level. Indeed, pursuant to article 70(4)(b), and in the light of the criteria under rule 162(2) of the Rules of Procedure and Evidence, the Office will always consider consulting with relevant States on the possibility for the investigation and prosecution of such cases to be conducted by competent national authorities. 234. Based on planned required activities for 2017, the OTP budget will increase by 3,046.5 thousand (7.0 per cent), from 43,233.7 thousand to 46,280.1 thousand. The table below summarizes the increase per major budget line: Resource changes Amount 7,180.4 -4,621.3 487.4 3,046.5 % 30.0 -30.2 12.1 7.0 Major Programme II Office of the Prosecutor Staff Costs Other Staff Costs Non-staff Costs Total 2016 Approved Budget ( `000) 23,898.8 15,309.0 4,025.9 43,233.7 2017 Proposed Budget ( `000) 31,079.2 10,687.7 4,513.3 46,280.2 235. The Office has striven to maximize the use of existing resources and has redeployed staff from folding activities to the active trials and investigations so as to strengthen teams and make them more effective. 236. The investigation in the Georgia situation, which has been funded through the Contingency Fund in 2016, is now incorporated into the 2017 budget proposal. 237. The table below shows the main cost drivers affecting the 2017 proposal, highlighting both the consequent increases and decreases: Cost Driver Operational Cost Drivers Active Investigations Georgia Other Teams Trials Non-staff Costs Sub-Total Operational Non-Operational Cost Drivers UN Common System Conversion Sub-Total Non-Operational Grand Total 662.1 -799.4 -137.2 3,046.5 5 3 -2 4.5 6 +1.5 3,816.3 1,243.0 -2,363.0 487.4 3,183.7 2016 2017 diff. Impact ( `000) 238. The net impact of the 2017 operational cost drivers (as shown in Sub-Total Operational in the above table) is 3,183.7 thousand. Staff Costs and Non-staff Costs account for 2,696.3 thousand and 487.4 thousand, respectively. This means that the OTP has managed to limit the impact of incorporating both the Georgia situation and strengthening the other existing Integrated Teams into the regular budget proposal. 10-E-170816 49 ICC-ASP/15/10 239. The non-operational components of the increase are the UN Common System costs and the financial benefit arising from conversion of long-standing GTAs. The benefits of conversion completely offset the increase linked to the UN Common System and reduce the overall budget increase to 3.04 million. 240. The UN Common System component is determined by the United Nations General Assembly each year and must be included in the budget to account for the Court's obligations vis-à-vis its pension scheme. Discussions are ongoing in the UN following the presentation of a report proposing changes to the current scheme. At present, the Court is coordinating with its counterparts in the UN to assess the impact of the changes on the Court's staff. The amount included in the Proposed Programme Budget for 2017 is based on a standard percentage and has been communicated by the Registry's Budget Section. The figure is an estimate and will be adjusted once the actual figures are available. 241. Lastly, the Office presented to the Committee, at its twenty-sixth session, a proposal for the conversion of long-standing GTAs into established posts. Such conversion entails a benefit of 799.4 thousand. The proposal covers 78 positions of the total of 168 GTA positions in the OTP (that is, 46 per cent of the total). The list is based on two criteria to be jointly applied: (a) the existence of the post for three or more years; and (b) the need for the post in the coming years. 242. The proposed budget of the OTP would allow it to conducts its preliminary examinations, investigations and prosecutions with sufficient quality and efficiency and an acceptable level of case prioritization, without yet reaching the desired pace because the standard team compositions are not yet met. 243. As part of its commitment to judicious management of resources, the OTP will continue to identify efficiency gains. The inter-organ synergies project has identified areas in which efficiencies and savings can be achieved through the streamlining of processes and better planning of investments (which in turn helps avoid potential duplication of efforts). 244. The Office has established an internal working group to monitor progress in the areas already identified.40 The group will also look into additional opportunities to achieve efficiencies and savings.41 The group reports to ExCom on a regular basis. Objectives: OTP 245. The Office presented its new OTP Strategic Plan for 2016-2018 in 2016. 42 The strategic goals are organized around three major themes: 1. 2. 3. Achieving high performance in relation to the Office's mandate (Strategic Goals: 1 to 4); Creating the necessary conditions to fulfil the Office's mandate (Strategic Goals: 5 to 8); and Contributing to a coordinated investigative and prosecutorial strategy to further close the impunity gap for ICC crimes (Strategic Goal 9). 246. The link between the goals of the OTP Strategic Plan for 2016-2018 and the 14 identified performance indicators is shown in Annex IV of the same document.43 247. The link between the goals of the OTP Strategic Plan for 2016-2018, the related objectives set for 2017 in the OTP budget proposal, and the 14 identified performance indicators is included in Annex V (d). 40 The group is made of up representatives from the different Divisions and Sections of the Office and it is the same team that monitors the indicators used for the OTP Performance Dashboard. 41 Efficiencies are meant as gains achieved by "doing more with the same resources" as a consequence of process streamlining or other improvement measures; savings are meant as "costs that will no longer be incurred by the Office" as a consequence of process streamlining or other improvement measures. 42 ICC-ASP/14/22. 43 Ibid. 50 10-E-170816 ICC-ASP/15/10 Table 12: Programme II Office of The Prosecutor Professional staff Major Programme II: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 20,376.5 Cont. Fund Total incl.CF 20,376.5 2016 Approved Budget 19,737.6 4,161.2 20,376.5 12,832.4 5.0 1,402.5 20,376.5 14,234.9 5.0 23,898.8 15,309.0 Resource changes Amount 6,415.0 765.4 7,180.4 -4,621.3 % 32.5 18.4 30.0 -30.2 Proposed 2017 estimates (thousands of euro) 26,152.6 4,926.6 31,079.2 10,687.7 General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 12,837.4 3,103.9 10.9 581.8 288.0 48.1 690.4 68.0 364.8 5,155.9 38,369.8 38.1 0.2 86.5 809.1 2,211.6 87.8 1,402.5 596.5 14,239.9 3,700.4 10.9 669.6 288.0 48.1 728.5 68.2 451.3 5,965.0 40,581.4 15,309.0 2,437.3 5.0 574.5 300.5 77.0 430.6 81.0 120.0 4,025.9 43,233.7 -4,621.3 326.5 5.0 5.0 -10.5 23.0 49.4 29.0 60.0 487.4 3,046.5 -30.2 13.4 100.0 0.9 -3.5 29.9 11.5 35.8 50.0 12.1 7.0 10,687.7 2,763.8 10.0 579.5 290.0 100.0 480.0 110.0 180.0 4,513.3 46,280.2 Table 13: II Office of The Prosecutor Major Programme II: Proposed staffing for 2017 Total P-staff and above GS-PL Total GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 1.00 1.00 5.00 1.50 1.00 5.50 46.50 8.67 23.00 32.17 38.67 2.83 20.00 21.50 30.00 2.00 21.00 11.00 121.17 15.00 65.00 71.17 3.00 3.00 31.92 14.50 13.00 33.42 34.92 14.50 36.42 156.08 29.50 78.00 107.58 1 1 1 1 3 3 17 17 35 1 36 54 23 77 53 18 71 10 23 33 174 65 239 1 1 64 13 77 65 13 78 239 78 317 10-E-170816 51 ICC-ASP/15/10 1. (a) Programme 2100: Immediate Office of the Prosecutor Sub-programme 2110 - Immediate Office of the Prosecutor and Legal Advisory Section Introduction 248. Sub-programme 2110 comprises the Immediate Office of the Prosecutor (IOP) and the Legal Advisory Section (LAS). 249. The IOP provides assistance and strategic advice to the Prosecutor in the day-to-day fulfilment of her functions and overall management and quality control of the Office; coordinates all strategic and administrative matters addressed to the Prosecutor and makes recommendations for action; coordinates internal and inter-organ activities and processes and vets communications on behalf of the Prosecutor; coordinates ExCom meetings and reviews of filings and communication with the Divisions, Sections and Integrated Teams; ensures the Office manages its specific human resources needs and has in place a well-qualified and motivated workforce through its Human Resources team (OTP-HR); and manages the Prosecutor's public relations and assists the Office in the effective dissemination of information and public relations through its Public Information Unit (PIU). 250. LAS responds to requests for legal advice from the Prosecutor, ExCom, OTP Divisions, Sections and teams, in relation to the Office's core operations and the general functioning of the OTP as an independent organ. The Section contributes to legal advice provided by the Appeals Section. LAS is responsible for coordinating and developing the Office's internal regulatory framework. As such, LAS facilitates the establishment and maintenance of the standards of the Office. In this context, it is responsible for coordination of the revision the Operations Manual and OTP Regulations, and updates the Code of Conduct. It also leads the development and implementation of OTP policies on key issues identified by the Prosecutor, and coordinates development of Implementation Plans. 251. LAS provides the Prosecutor and the Office with legal advice concerning reports and publications, advice on individual labour-related cases, as well as the review and drafting of contracts. 252. LAS manages the maintenance and development of on-line legal tools, commentaries and databases for the Office, for which it also offers training, and the development and maintenance of a legal-academic network for the Office. The Section is also responsible for OTP input into the development of a Court-wide case law database, and the preparation and dissemination of Weekly Court Reports. LAS also organizes and runs a series of guest lectures on issues of general interest to the Office and to the Court as a whole and, at the request of the Prosecutor or ExCom, legal fora on thematic issues with internal speakers. 253. LAS is responsible for developing and institutionalizing a Lessons Learnt system to identify, document and implement good practices, based on experience, in order to enhance the quality and efficiency of operations. LAS is also responsible for coordinating the development of an assurance mechanism to ensure implementation of and compliance with the Office's standards. 254. The Section also contributes to the development and maintenance of Court-wide standards, e.g., policies and administrative issuances, and is responsible, together with OTP-HR, for advice on the application of Staff Regulations and Rules in individual cases, including through litigation. 255. LAS organizes training for Office staff in relation to the Code of Conduct for the Office of the Prosecutor (2013) and the Lessons Learnt process. Budget resources 256. 2,606.1 thousand The requested amount has increased by 38.1 thousand (1.5 per cent). 52 10-E-170816 ICC-ASP/15/10 Staff resources 1,991.7 thousand 257. The number of established posts has remained unchanged. Following the review of processes and procedures during the inter-organ synergies project,44 and the stabilization of the Registry HR structure, the Office is now more reliant on the assistance provided by the Registry. This has allowed for a reduction in the GTA resources allocated to HR in the OTP. Established posts: Professional and General Service 1,697.8 thousand 258. The Prosecutor (USG) is supported by a Senior Special Assistant (P-4), who is in charge of OTP-HR, PIU and other staff of the Immediate Office and coordinates the functions of the IOP under the Prosecutor's direct supervision. The IOP also has one HR Liaison and Coordination Officer (P-3), two Public Information Officers (P-3), two Special Assistants to the Prosecutor (P-2), one Personal Assistant to the Prosecutor (GS-PL), one Administrative Assistant (GS-OL), one Public Information Assistant (GS-OL) and one Staff Assistant (GS-OL). LAS is headed by a Senior Legal Adviser (P-5) and also has one Legal Adviser (P-4), one Associate Legal Adviser (P-2) and one Legal Assistant (P-2). The increase of 64.1 thousand is due to the reclassification of three posts. 259. One position, Associate Legal Adviser (P-2), has been requested for conversion. 293.9 thousand General temporary assistance 260. Two GTA positions (2.0 FTE) are requested to meet IOP requirements for 2017. Both resources were previously approved in the 2016 budget. The decrease in the GTA staffing level compared to the 2016 budget is 62.0 thousand (17.4 per cent). Details of the positions are as follows: (a) (b) Continued. One IOP Special Assistant (P-3), 12 months (1.0 FTE). Continued; and One Information Management Coordinator (P-5), 12 months (1.0 FTE). Non-staff resources 614.4 thousand 261. The requested amount has increased by 25.3 thousand (4.3 per cent). Non-staff resources are requested for travel, hospitality, contractual services, training and consultants. Travel 184.4 thousand 262. The requested amount has increased by 2.8 thousand (1.5 per cent) and is intended to cover projected missions of the Prosecutor and her staff. 263. In order to raise support and enhance cooperation at the highest levels for the Office's investigations and the arrest and prosecution of individuals sought by the Court, as well as to contribute to maximizing the impact of the Rome Statute, it is necessary for the Prosecutor to undertake missions abroad. Experience has demonstrated the critically important impact and positive results such missions can yield. The travel budget also includes missions for representatives of PIU, OTP-HR and LAS, as well as provision for travel by key stakeholders invited to meet with the Prosecutor who are unable to fund the costs of such travel themselves. Hospitality 264. The requested amount has increased by 5 thousand (100.0 per cent). 10.0 thousand 265. These resources are for hospitality for international delegations, diplomats and special guests visiting the Office of the Prosecutor. In the past year, the Court has also agreed to share among its organs most of the costs of catering for visiting diplomats and 44 See the Report of the Court on Inter-Organ Synergies - CBF/26/13, 6 April 2016, presented to the Committee at its twenty-sixth session. 10-E-170816 53 ICC-ASP/15/10 delegations received by more than one Principal. These events/visits have increased in frequency over the years, and are foreseen to continue to be more frequent than in the past. The relocation of the Court into the new premises - which is also intended to be used to further develop the Court's outreach to the public - will equally contribute to the number of high level visitors the Office can reasonably expect to receive in 2017. Contractual services 30.0 thousand 266. The requested amount has increased by 5.0 thousand (20.0 per cent). Until 2015, the approved amount was 50.0 thousand. The Office needs at least the resources at the requested level to support independent public information missions in the countries of operation as well as for the rental of appropriate facilities for press conferences and the production and distribution of informational material. Training 267. 290.0 thousand The requested amount has decreased by 10.5 thousand (3.5 per cent). 268. The training budget remains centralized in the Immediate Office. Training is a vital component of the strategy to create a common and cohesive working culture within the OTP and to enhance quality and performance. However, the Office still needs to provide adequate training to the additional staff recruited, as well as to enhance the skills of existing staff. The funds will be utilized to deliver a training schedule in accordance with OTP-specific training priorities. 269. As in many national systems, professionals within the Office are required to attend specific training to maintain their qualification or be certified according to international standards. 270. The Office is also coordinating the projects in this area with the Registry with the aim of developing joint courses, wherever possible, using new tools such as e-learning, which offers interesting opportunities in terms of both flexibility of delivery and cost per trainee. 271. The Office will continue to work with other organizations and national authorities to ensure maximum cost effectiveness; for example, by sharing annual advocacy and appellate training costs with the ad hoc tribunals or engaging reputable organizations that are willing to offer services on a pro bono basis. Consultants 100.0 thousand 272. The requested amount has increased by 23.0 thousand (29.9 per cent). This equates to approximately seven work-months at P-5 level, although the actual level of the consultants will be determined on the basis of the work required and individual experience. The budget remains centralized in the Immediate Office to ensure coordination across the operational Divisions. 273. In accordance with article 42(9) of the Rome Statute, the Prosecutor continues to engage the services of (external) special advisers on issues such as sexual and gender-based crimes, children and crimes against humanity. As these experts contribute their services on a pro bono consultancy basis, their appointments entail travel and DSA expenses only, which will be absorbed within the budget. Efforts are nevertheless made to keep such costs to a minimum. 274. Part of the required amount will also be utilized to fund expenses related to the Lessons Learnt exercises that will be facilitated by external experts who are assisting the Office in evaluating the progress made in prosecutorial and investigative areas. 54 10-E-170816 ICC-ASP/15/10 Table 14: Sub-Programme 2110: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 1,525.1 Cont. Fund Total incl.CF 1,525.1 2016 Approved Budget 1,341.8 280.4 1,525.1 173.0 1,525.1 173.0 1,622.2 355.9 Resource changes Amount 79.3 -3.7 75.6 -62.0 % 5.9 -1.3 4.7 -17.4 Proposed 2017 estimates (thousands of euro) 1,421.1 276.7 1,697.8 293.9 2110 Immediate Office of the Prosecutor Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 173.0 191.1 10.9 21.4 288.0 48.1 173.0 191.1 10.9 21.4 288.0 48.1 355.9 181.6 5.0 25.0 300.5 77.0 -62.0 2.8 5.0 5.0 -10.5 23.0 -17.4 1.5 100.0 20.0 -3.5 29.9 293.9 184.4 10.0 30.0 290.0 100.0 559.5 2,257.6 559.5 2,257.6 589.1 2,567.2 25.3 38.9 4.3 1.5 614.4 2,606.1 Table 15: Sub-Programme 2110: Proposed Staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff 2110 Immediate Office of the Prosecutor / Legal Advisory Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Total staff 1 1 - - - 1 1 2 2 3 3 4 1 5 - 11 1 12 1 1 3 3 4 4 15 1 16 - - - - 1.00 1.00 - 1.00 1.00 1.00 1.00 - - 3.00 1.00 2.00 - - - 2.00 1.00 2.00 10-E-170816 55 ICC-ASP/15/10 (b) Sub-programme 2120: Services Section Introduction 275. The Services Section (SS), through its specialized Units, provides critical support functions in the areas of language expertise, physical and electronic evidence handling, technical assistance for OTP-specific information management, disclosure processes, and budget, financial and administrative management. The Section adopts a flexible approach and ensures effective coordination with the Registry to allow the seamless provision of common services, in a continuum of activities that is aimed at meeting client needs with minimum resources. 276. The Section is made up of four Units: 45 the Language Services Unit (LSU), the Information and Evidence Unit (IEU), the Knowledge Base Unit (KBU), and the General Administration Unit (GAU). The Units perform activities which are not, and cannot be, carried out by Sections or Units in other parts of the Court and are essential to OTP operations. 277. The Section provides the operational Divisions with the necessary support services to fulfil their mandates. These include, in particular: (a) Coordination and preparation of the OTP budget; (b) Management of OTP funds, including approval and certification of expenditures, preparation of detailed estimates of the financial impact of the activities performed by the Office and expenditure reporting and forecasting;46 (c) Careful administration of funds dedicated to field operations and witness-related activities, official travel, procurement, and the administration of posts, including GTA positions; (d) Provision of effective monitoring and control of the use of resources in compliance with the Court's Financial Rules and Regulations; (e) (f) (g) Field, event, and telephone interpretation; Transcription of audio and video material; Translation of OTP evidence and core Office documentation; (h) Summarizing, redacting, editing, subtitling, language identification and other support activities for projects requiring language expertise within the Office; (i) Registration and storage of evidence and information (including chain-of-custody management) and provision of digital services (e.g. audio-video editing); (j) Provision of advice and support to the Office on the collection and handling of evidence, including eDiscovery and Technology Assisted Review (TAR); (k) Management of the administrative process for material collected and submitted under article 15, including the Phase 1 analysis; (l) Provision of technical equipment and support for witness interviews and missions, including for the safe storage and transfer of evidence; (m) Support of knowledge- and information-management systems, business processes, e-learning platform and projects within the Office; and (n) Development, introduction and maintenance information-management tools and practices required by the Office. of specific 278. The Section also represents the OTP in financial, budgetary and resource-related matters before the Committee, the State Parties' delegates at the Hague Working Group 45 46 See Fig... in Annex... The centralized approach provides full budget spending control and flexible financing of activities as a result of changing operational needs through reallocation of resources as required. This approach to fund management has been praised by the Office of Internal Audit, in particular in the recent Report by the Office of Internal Audit: engagement number OIA.02.14. 56 10-E-170816 ICC-ASP/15/10 (HWG) and other stakeholders, such as NGOs and international institutions. In addition, it manages service requests arising from OTP operational needs and from the Registry and lastly, the Section represents the Office in Court-wide initiatives and projects. Budget resources 8,169.9 thousand 279. The relative incidence of the resources specifically allocated to the Services Section has been steadily decreasing, falling from 21.1 per cent of the Office's budget in 2013 to 17.0 per cent in the 2017 proposed budget. 280. The increased complexity of funding operational activities for the different situations and volumes of missions, evidence and data determined by the new approach in investigative and prosecutorial activities requires, however, ample support by the Services Section. 281. Thanks to the continuing effort to streamline processes and workflows, the GAU has been able to manage the additional workload and achieve substantial efficiencies with the same basic structure. For example, in spite of a sharp increase in the number of missions (which has led to higher volumes of transactions to be processed and reconciled), the Unit has kept the same level of resources. The graph in Annex X(a) shows the situation of travel claims in 2014, 2015 and 2016. Similar efficiencies have been achieved by the other Units in the Section. 282. In order to assist with the Office's increased workload in the disclosure process KBU needs two additional resources in 2017, one Database Coordinator (P-2) and one Disclosure/Search Assistant (GS-OL). It is worth remembering that KBU's involvement in assisting with information management related to cases (and not only disclosure) starts with the preliminary examinations phases. The total workload is hence much greater than that generated by investigations and trials alone. In addition, disclosure is only one of the areas supported by KBU.47 283. Likewise, in 2017 IEU needs additional resources, 48 namely two Assistant Information and Evidence Officers (P-1), to properly manage the sharp increase in its workload. This issue is particularly relevant as a consequence of the recent cases where, following the approach devised in the Strategic Plan to be as trial-ready as possible, a larger number of charges has been presented in early stages, which in turn has led to greater volumes of evidence being collected and registered. Additionally, the type of evidence being collected is shifting from largely paper-based to electronic, which presents challenges, but also opportunities to deal with larger volumes more efficiently. 284. LSU provides a broad variety of language support throughout the preliminary examination, investigation and prosecution phases. The three main areas of work - albeit not the only ones - remain field interpretation, transcription and translation, as required by OTP. The requirement for language services is often volatile on account of uncertainty around, among other things: (1) how many and which languages will be encountered in any given situation country, especially with regard to insider witnesses and victims whose evidence needs interpreting, transcribing, and translating into a working language and also to accused persons, who are entitled to translations of evidence in a language they fully understand; (2) the frequency and other particularities of the languages involved; (3) the possible reach of an investigation beyond the situation country necessitating additional languages; and (4) the team's capacity to work in both working languages. 285. The evaluation of the resources needed for 2017 takes inventory of the findings of the working group on Inter-Organ Synergies.49 In particular, OTP and Registry have been working to optimize resource usage in the translation area, as recommended by the report on synergies. In addition, with the technical support provided by KBU and IMSS/Registry, common machine translation software is being implemented. This will help in assessing the 47 For a more detailed explanation of KBU's activities see Report of the Court on the Basic Size of the Office of the Prosecutor - ICC-ASP/14/21 (paras. 56 to 59, English version), 17 September 2015. 48 For a detailed list of the resources (continued and new) requested in the 2017 budget proposal, see paragraph 74 below. 49 See Report of the Court on Inter-Organ Synergies - CBF/26/13 (pp. 10 to 13, English version), 6 April 2016. 10-E-170816 57 ICC-ASP/15/10 content of written material and its usefulness for the cases, thus reducing the volumes to be translated by staff or outsourced to external contractors. 286. The net increase in the resources requested by LSU is mainly due to the Georgia situation (started in 2016 and funded through the Contingency Fund), which requires language capabilities in Russian, Georgian and South-Ossetian. Translation and transcription support for this situation continues to be necessary. Two Translators (P-3) and three Data Processing Assistants - Transcribers (GS-OL) are requested for this situation. Two additional transcribers (GS-OL) are needed to support language-specific needs in other active investigations. Part of the impact has been set off by the reduction in other roles (see paragraph 75 below). 287. The Office continues to centralize some Non-staff budget lines such as Consultants, Furniture and equipment, Supplies and materials and Training 50 so as to be quick and flexible in response to possible changing needs during the implementation of the budget. The resources that are actually requested are to provide support and materials needed by other sub-programmes within the Office to facilitate business activities. 288. Following discussions in the Inter-Organ Synergies working group, consultations are held on a regular basis to ensure that materials and services are procured in the most effective, efficient and timely manner. GAU and Procurement/Registry, for instance, meet quarterly to share procurement plans in order to ensure compliance with existing rules and procedures as well as timely delivery of goods and services. Likewise, KBU and IMSS hold regular meetings to discuss the need for information management support in order to prioritize projects and allocate resources according to an agreed common framework and avoid duplicated efforts. 289. The requested budget has increased by 1,150.2 thousand (16.4 per cent). Staff Costs and Non-staff Costs represent 85.4 per cent and 14.6 per cent of the increase, respectively. Staff resources 6,974.9 thousand 290. In 2017, the Section will comprise a total of 76 staff: 45 established posts and 39 GTA positions and field interpreters (33.08 FTE in total funded through GTA). Established posts: Professional and General Service 3,816.7 thousand 291. The Section, comprising four Units, is overseen by the Senior Manager (P-5). The General Administration Unit has one Administration Officer (P-3), one Associate Administration Officer (P-2) and three Finance and General Administration Assistants (GS-OL). The Information and Evidence Unit has one Head of Information and Evidence Unit (P-3), one Associate Information and Evidence Officer (P-2), three Information Storage Assistants (GS-OL), one Information Management Assistant (GS-OL), one Senior Evidence Assistant (GS-OL) and four Evidence Assistants (GS-OL). The Knowledge Base Unit has one Knowledge-Base Manager (P-4), two Information Officers (P-2), two Database Coordinators (P-1), one Assistant Information Officer (P-1) and one Disclosure Search Assistant (GS-OL). The Language Services Unit has one Language Coordinator (P-4), one English Reviser/Translation Coordinator (P-4), one Translator/Reviser (French) (P-4), one Translator (English) (P-3), one Translator (French) (P-3), one Interpretation Coordinator (P-3), one Associate Translator (English) (P-2), one Associate Translator (French) (P-2), one Transcription Coordinator (GS-OL), five Data Processing Assistants51 (GS-OL), three Language Services Assistants (GS-OL) and one Transcription Assistant (GS-OL). 292. Three positions, one Translator (P-3), one Associate Translator (P-2) and one Database Coordinator (P-1), have been requested for conversion. 50 Training and Consultants are in Sub-programme 2110, Immediate Office of the Prosecutor; Supplies and materials and Furniture and equipment are in Sub-programme 2120, Services Section. 51 The title Data Processing Assistant in LSU is in the process of being changed to Transcription Reviewer to properly distinguish it from the role of Data Processing staff in the Data Processing Unit (ID) and in the Investigation Analysis Section (ID). 58 10-E-170816 ICC-ASP/15/10 General temporary assistance 3,158.2 thousand 293. The Section continues to require GTA resources for translation, transcription, field interpretation and a wide range of other administrative and technical services to directly support the Office's activities. The extension of current resources is therefore necessary. 294. The Section also requires additional GTA positions for knowledge-base support in respect of case management and disclosure, for evidence management, and for language services to handle the additional workload related to the increase in the number of activities and staff in the Office. The breakdown of GTA positions requested for 2017 is as follows: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. One Data Management Officer (P-3), 12 months (1.0 FTE). Continued; Six Translators (P-3), 72 months (6.0 FTE). Continued; Two Translators (P-3), 20 months (1.7 FTE). New; One Associate Administration Officer (P-2), 12 months (1.0 FTE). Continued; Two Associate Electronic Evidence Officers (P-2), 24 months (2.0 FTE). Continued; One Associate Interpretation Coordinator (P-2), 12 months (1.0 FTE). Continued; One Associate Translator (P-2), 12 months (1.0 FTE). Continued; One Information Officer (P-2), 12 months (1.0 FTE). Continued; One Database Coordinator (P-2), 12 months (1.0 FTE). New; Two Assistant Translators (P-1), 15 months (1.4 FTE). Continued; Two Assistant Information and Evidence Officers (P-1), 24 months (2.0 FTE). New; One Database Coordinator (P-1), 12 months (1.0 FTE). Continued; One Administrative Support (GS-OL), 12 months (1.0 FTE). Continued; One Data Processing Assistant - Transcriber (GS-OL), 12 months (1.0 FTE). Continued; Five Data Processing Assistants - Transcribers (GS-OL), 60 months (5.0 FTE). New; One Language Services Assistant (GS-OL), 12 months (1.0 FTE). Continued; One Technical Assistant Information Systems (GS-OL), 12 months (1.0 FTE). Continued; One Disclosure/Search Assistant (GS-OL), 12 months (1.0 FTE). New; and Field Interpreters (GS-OL), equivalent to 41 months (3.44 FTE). 295. Most of the GTA resources are recurring and are needed to continue performing the ongoing activities of the Office. Two P-1 and one P-2 staff in LSU are no longer requested. The additional new resources requested in the 2017 budget are linked to the increase in the operational needs of the Office that require critical support by the Services Section. The overall increase is limited, thanks to the progress made in the internal organization, work flows and procedures, and is fundamentally due to specific needs triggered by the Georgia situation. Non-staff resources 1,195.0 thousand 296. The requested amount has increased by 118.4 thousand (11 per cent). Non-staff resources are requested for travel, contractual services, supplies and materials and furniture and equipment. Travel 355.5 thousand 297. The requested amount has increased by 29.4 thousand (9.0 per cent). The increase is for activities in support of the Integrated Teams. IEU technical support staff and field 10-E-170816 59 ICC-ASP/15/10 interpreters (local and international) provide necessary support for investigation and prosecution-related missions for all cases during the preliminary examination, investigative, pre-trial and trial phases. The budget line further includes funds for a number of missions to situation countries for the assessment and recruitment of field interpreters. Travel resources also provide for a few missions for technical, language and administrative staff to participate in professional conferences. Contractual services 549.5 thousand 298. The amount requested is unchanged. In spite of the increase in activities, the implementation of the machine assisted translation system and the upgrade of other tools and software to support language services should allow the additional workload to be absorbed within the same resources as in 2016. 299. Contractual services are required to supplement internal projects or to provide resources for special requirements and peaks in activities that cannot be effectively and timely dealt with in-house through additional recruitment. This is the case for translation outsourcing which is used to supplement the Office's in-house translation capacity, where confidentiality constraints allow. Most critically, this is required to deal with peaks in activity due to case-specific, time-bound workloads and with documents requiring translation into or out of languages for which no in-house capacity exists. Similarly, funds are requested for transcription outsourcing to supplement the Office's in-house capacity, again where confidentiality constraints permit. Supplies and materials 110.0 thousand 300. The requested amount has increased by 29.0 thousand (35.8 per cent). It must be noted that the amount requested is the same as in 2015. This is a centralized budget line and funds are used for operational purposes. 301. A portion of this budget line is allocated to purchasing digital and electronic consumables (e.g. memory cards, mini-disks, encrypted hard drives and batteries) for equipment used by investigators, such as cameras and recording devices. Funds are also requested for maintaining annual subscriptions to OTP-specific journals and other professional subscriptions (e.g. International Association of Prosecutors), as well as the purchase of key reference books necessary to support the core activities of the Office. Subscriptions to on-line database/services and journals that are common to the entire Court are now centralized within the Court's Library. 302. The increased forensic focus in investigations is leading to higher costs for specific materials and supplies (e.g.: satellite images of locations, or body bags, rubber gloves, consumables and instruments). Furniture and equipment 303. 180.0 thousand The requested amount has increased by 60 thousand (50.0 per cent). 304. This budget line includes 50.0 thousand for the IEU to maintain, replace and upgrade OTP-specific mission equipment (for audio-visual/data-collection for investigations). This amount will also be used for IEU to expand licences and storage for the OTP electronic vault, and connect it to the evidence review platform. 305. A major update to the OTP evidence review platform is indeed required. Implemented over ten years ago, the OTP evidence review platform needs to be re-evaluated and re-tendered due to the change in the nature of evidence collected. This will be undertaken in close liaison with Registry IMSS, but it is OTP that must necessarily take the lead in this initiative, with IMSS in support in order to guarantee success. New systems are needed to facilitate investigator review and the assessment of original forensically preserved electronic content. This investment has been delayed for several years and savings have been achieved, but it should not be delayed further. The volumes of information have grown and will continue to grow in such a way that systems and practices will need to be to be updated with a sustained multi-year investment. The information initially collected by the OTP later becomes available to the Court (when it meets the legal 60 10-E-170816 ICC-ASP/15/10 requirements set by the evidence procedures) through the disclosure process. As this is a Court-wide investment, the Registry will budget for it and no specific funds are requested by the OTP. The Office will contribute to this project by providing the expertise and knowledge of its staff. 306. In addition, the Office continues to refresh and update its other Office-specific existing systems (e.g.: GIS systems, web-based platform for receiving article 15 communications, etc.) while prioritizing the evidence review platform. Funds of 80.0 thousand are requested for these applications. 307. The remaining 50.0 thousand is requested to support the purchase of additional data and fact analysis software licences. Table 16: 2120 Services Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 139.8 68.0 364.8 1,485.9 6,455.0 0.2 86.5 211.6 492.7 139.8 68.2 451.3 1,697.5 6,947.7 81.0 120.0 1,076.6 7,019.7 29.0 60.0 118.4 1,150.2 35.8 50.0 11.0 16.4 110.0 180.0 1,195.0 8,169.9 508.9 59.6 568.5 549.5 549.5 2,224.7 404.4 281.1 65.3 2,505.8 469.7 2,371.8 326.1 786.4 29.4 33.2 9.0 3,158.2 355.5 2,744.4 2,219.7 5.0 281.1 2,744.4 2,500.8 5.0 Sub-Programme 2120: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 2,744.4 Cont. Fund Total incl.CF 2,744.4 2016 Approved Budget 2,042.5 1,528.8 3,571.3 2,371.8 Resource changes Amount 278.5 -33.1 245.4 786.4 % 13.6 -2.2 6.9 33.2 Proposed 2017 estimates (thousands of euro) 2,321.0 1,495.7 3,816.7 3,158.2 Table 17: 2120 Services Section Sub-Programme 2120: Proposed Staffing for 2017 Total P-staff and above GS-PL Total GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 8.00 1.67 1.00 8.67 7.00 1.00 1.00 7.00 4.00 2.00 1.00 5.00 19.00 4.67 3.00 20.67 6.92 5.50 12.42 6.92 5.50 12.42 25.92 10.17 3.00 33.08 1 1 4 4 5 1 6 6 1 7 3 1 4 19 3 22 23 23 23 23 42 3 45 10-E-170816 61 ICC-ASP/15/10 2. Programme 2200: Jurisdiction, Complementarity and Cooperation Division Introduction 308. Cooperation is vital to ensuring timely investigation and prosecution of cases. Each situation or case has its own unique cooperation requirements. The Jurisdiction, Complementarity and Cooperation Division (JCCD) is the lead division for facilitating the Office's investigations by ensuring cooperation and judicial assistance under Part 9 of the Rome Statute. Its general cooperation and external relations functions entail establishing and managing relations with States, international organizations and NGOs, including galvanizing general support for the work of the Office and advocating and delivering its key messages. The Division is thus primarily responsible for building and reinforcing the strong and extensive network of support and cooperation with States, international organizations and other partners which is necessary for the OTP to carry out its judicial mandate effectively. Furthermore, the Division is responsible for conducting all preliminary examinations of situations, irrespective of whether a situation comes before the Court as a result of a State Party or United Nations Security Council referral or of the Prosecutor's acting proprio motu pursuant to article 15 of the Rome Statute. The Division thus leads within the Office on matters of jurisdiction, admissibility and interests of justice and provides essential recommendations to the Prosecutor on the opening of new investigations. 309. The Division comprises two Sections: the International Cooperation Section (ICS) and the Situation Analysis Section (SAS). 310. ICS is composed of three areas of activity, falling under the overall supervision of the Chief of ICS, with the additional support of a Legal Adviser: (i) situation-specific cooperation within Integrated Teams; (ii) judicial cooperation; and (iii) general cooperation and external relations. (a) ICS supports each Integrated Team with an International Cooperation Adviser, who is responsible for facilitating all judicial assistance needs and cooperation requests of the team to cooperation partners; generating and maintaining situation-specific support and promoting understanding of the work of the OTP in relation to the investigation and prosecution of a case to which she/he is assigned; establishing operational focal points so that the Integrated Team has continuous access to the territory, physical evidence and witnesses for the case; and providing prompt responses and feedback to the team on any problems identified by the team or by the national authorities. (b) The judicial cooperation component provides strategic, technical and operational advice, support and guidance to all International Cooperation Advisers in order to ensure quality control, channelling of and follow-up to all judicial assistance requests and responses sent on behalf of Integrated Teams in conformity with relevant procedures and standards. It is responsible, in association with each International Cooperation Adviser, for tracking compliance and maintaining all records related to outgoing and incoming requests for assistance (RFA) in the database and for developing and overviewing strategies to facilitate cooperation for arrest and surrender and for identification, location, tracking and freezing of assets. (c) The general cooperation and external relations component is responsible for providing strategic advice and support regarding general cooperation and external relations to the Prosecutor and OTP's senior management. It supports the OTP's diplomatic and other general cooperation engagements, ensures and coordinates the establishment and management of OTP's external relations with States and other partners for the purpose of galvanizing general support for the activities of the OTP, and represents the OTP during discussions on various issues under consideration by the Assembly and/or its subsidiary bodies, affecting the work of the OTP. 311. SAS carries out all preliminary examinations and provides advice on complex matters of fact and law regarding jurisdiction, admissibility, and assessments of interests of justice, in particular in terms of the interests of victims. Conducting preliminary examinations is one of the three core activities of the Office, together with investigations and prosecutions. Preliminary examinations are not only critical for deciding on whether to open investigations; they also serve to lay a firm foundation for cooperation in situations 62 10-E-170816 ICC-ASP/15/10 where new investigations are opened. Additionally, preliminary examinations can also have a preventative effect and can serve to foster domestic complementarity efforts, potentially obviating the need for intervention by the Court. Lastly, the vital analytical work conducted by SAS feeds into the analysis that is essential to successful investigations when the Prosecutor decides to open an investigation in a situation. Budget resources 3,988.6 thousand 312. The requested resources have decreased by 59.4 thousand (1.5 per cent), due to the positive effect of the conversion of some long standing GTA positions. Extensions are requested for the other GTA resources approved in the 2016 budget. These resources are critical to enable the Division to conduct its mandate effectively in 2017. Staff resources 313. 3,548.4 thousand The Division comprises 29 established posts and five GTA positions (4.5 FTE). 314. Eight positions, one Administrative Assistant (GS-OL), and one Judicial Assistant (GS-OL) in ICS, and four Associate Situation Analysts (P-2) and two Assistant Situation Analysts (P-1) in SAS, have been requested for conversion. Established posts: Professional and General Service 3,046.3thousand 315. The Division is headed by a Director (D-1), who is assisted by one personal assistant (Administrative Assistant) (GS-OL). ICS has one Head, International Cooperation Section (P-5), one Judicial Cooperation Adviser (P-4), two International Cooperation Advisers (P-4), seven International Cooperation Advisers (P-3), and one Administrative Assistant (GS-OL). SAS has one Head of Situation Analysis Section (P-5), three Situation Analysts (P-3) and three Associate Situation Analysts (P-2). General temporary assistance 502,1 thousand 316. ICS requires eight GTA positions to support the investigations and trials foreseen in the 2017 budget assumptions, as well as to support, administratively and operationally, the continuously increasing crucial workload in the area of judicial assistance and cooperation. Each Cooperation Adviser is formally assigned to a specific Integrated Team but sometimes also serves as back-up for another team. The assignment of a Cooperation Adviser can also change should existing or new situations so require, and in some cases, the Cooperation Adviser might have more than one situation should the assumed workload per each situation allow for that. This flexibility allows the JCCD and ICS management to seek maximum efficiency in terms of allocating existing resources should situational requirements fluctuate. 317. 1. 2. 3. The breakdown of GTA positions requested for ICS in 2017 is as follows: One International Cooperation Adviser (P-3), 12 months (1.0 FTE). Continued; Two Associate International Cooperation Advisers (P-2), 24 months (2.0 FTE). Continued; and One Legal Assistant (GS-OL), 12 months (1.0 FTE). Continued. 318. No new additional posts are requested in 2017, given that existing resources will be allocated in the most effective way to meet the requirements set by the assumptions. 319. ICS requests the continued confirmation of one Legal Officer (P-3) in New York (approved in 2016) for six months (0.5 FTE). This staff member is retained by the United Nations Office of Legal Affairs, as a United Nations staff member, to process and coordinate within the United Nations system all requests for assistance from the OTP, forming an essential component to enable the efficient and timely execution of all requests within the UN system. Since the post also handles requests for assistance sent by the Registrar on behalf of Chambers or Defence Counsel, the remaining costs of the post will be shared by the Immediate Office of the Registrar. 10-E-170816 63 ICC-ASP/15/10 320. The six positions in SAS, previously requested as GTA, have been proposed for conversion in 2017. Non-staff resources 440.2 thousand 321. The proposed budget decrease of 20.4 thousand (4.4 per cent) is based entirely on a reduction in the Division's travel budget. Travel 440.2 thousand 322. The proposed travel budget has decreased by 20.2 thousand (4.4 per cent). It remains critical that JCCD staff conduct missions in relation to situations under preliminary examination or investigations to secure and foster cooperation and/or gather information and to attend key meetings, such as the Assembly of States Parties which will be held in New York in 2017. JCCD staff will also continue to accompany the Prosecutor on situation-related missions. These missions will be targeted and planned in such a way as to use the travel budget most efficiently, thus enabling an efficiency reduction in the proposed budget, despite the increased number of planned missions. Table 18: Sub-Programme 2200: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 1,868.1 1,868.1 1,350.0 46.3 Cont. Fund Total incl.CF 1,868.1 1,868.1 1,396.3 2016 Approved Budget 2,234.7 133.0 2,367.7 1,219.9 Resource changes Amount 551.5 127.1 678.6 -717.8 % 24.7 95.6 28.7 -58.8 Proposed 2017 estimates (thousands of euro) 2,786.2 260.1 3,046.3 502.1 2200 Jurisdiction, Complementarity and Cooperation Division Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 1,350.0 377.5 46.3 7.1 1,396.3 384.6 1,219.9 460.4 -717.8 -20.2 -58.8 -4.4 502.1 440.2 377.5 3,595.6 7.1 53.4 384.6 3,649.0 460.4 4,048.0 -20.2 -59.4 -4.4 -1.5 440.2 3,988.6 Table 19: Sub-Programme 2200: Proposed Staffing for 2017 Total P-staff P-1 and above 2 2 19 6 25 9.50 6.00 3.50 2200 Jurisdiction, Complementarity and Cooperation Division Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG - D-2 - D-1 1 1 - P-5 2 2 - P-4 3 3 - P-3 10 10 3.50 3.50 P-2 3 4 7 6.00 6.00 - GS-PL - Total GS-OL GS-staff 2 2 4 3.00 2.00 1.00 2 2 4 3.00 2.00 1.00 Total staff 21 8 29 12.50 8.00 4.50 64 10-E-170816 ICC-ASP/15/10 3. Programme 2300: Investigation Division Introduction 323. The Investigation Division (ID), under the overall management of its Director and management team, provides the investigative component of the integrated teams which conduct the Office's investigations and prosecutions under the responsibility of PD's Senior Trial Lawyers. ID recruits, trains and monitors the performance of investigators, analysts and data inputters within the Integrated Team. 324. The Division implemented a limited restructuring in 2016, moving from two sections to four. This was achieved by moving Analysis from the Investigations Coordinator and establishing the Investigations Analysis Section, and by removing the Scientific Response Unit (SRU) from Planning and Operations and establishing the Forensic Science Section (as outlined in the diagram below). 325. The OTP Strategic Plan emphasizes the importance of analysis and reliance on alternative forms of evidence. The rationale for the change in structure was to better align the Division's organization to this end, with Sections having a more homogeneous set of responsibilities. In addition, the workload for the Investigations Coordinator and Head of Planning and Operations had become so great that it affected their ability to properly oversee and guide all the areas under their responsibility. 326. The Division's investigative component (investigators, analysts, data input and management resources) is a large and critical component of the Integrated Team (IT).The investigative team undertakes the key investigative activities focused on (a) the crimes, and (b) the suspects and the linkage between the crimes and the suspects, whether individually, via an organization and/or by other means. For crimes, the team collects evidence on the incidents under investigation and the corresponding victimization. For suspects, it is 10-E-170816 65 ICC-ASP/15/10 necessary to manage the lines of inquiry into their role, knowledge and intent regarding the crimes and to that effect, collect evidence on the structure or organization allegedly responsible for the crimes, the roles of the different suspects in it and the linkage between them and the crimes, including the financing and logistics required to commit the crimes. Advances in and the widespread availability of technology create the necessity to conduct on-line investigations, while dedicated field-based resources focus on developing leads, establishing strong local networks, coordinating with local and regional partners, participating in mission activities with staff deployed in-country, and following up on activities from concluded missions. 327. The specialized Sections within ID support the Integrated Teams in the elaboration and implementation of their plans, through expert advice and assistance in the conduct of operations. They also promote the strategic development of the Office's investigative capability by looking into innovative procedures, tools and methodologies to ensure that investigative activities conform to current standards. While analysts are embedded within the Integrated Team, the Investigations Analysis Section (IAS) ensures the development of standards and best practice, training, quality review and resource provision across the various investigative teams. The Forensic Science Section (FSS) supports the Integrated Team with specialist expertise, such as cyber investigation and technical expertise, forensic operations such as crime scene investigations (including exhumations, autopsies, 3D imaging, audio and video enhancement), and satellite imagery and info-graphics. In the Planning and Operations Section, the Operational Support Unit (OSU) helps to ensure the confidentiality and security of the field deployment, and provides operational support to missions. The Protection Strategies Unit (PSU) helps to ensure that the investigative strategy is developed in such a way that foreseeable risks to persons interacting with the OTP can be managed. Both OSU and PSU work closely and in a complementary manner with the Registry through the division of responsibilities based on a continuum of services. The Gender and Children's Unit (GCU) assists the teams with the handling of vulnerable witnesses and the investigation of sexual and gender-based crimes and crimes against children. Lastly, the Data Processing Unit (DPU) and the Administrative Unit provide information processing and administrative services respectively. 328. The Office issued its Strategic Plan 2016-2018 in November 2015, breaking down the prosecutorial strategy into nine strategic goals. The Division is able to directly contribute to a number of the strategic goals and strives to create the necessary conditions and undertake activities to achieve this. In order to ensure that the investigations continue to meet the expectations of quality, and in the face of ever more challenging operating environments, the strategy outlined in the previous year remains - namely to maintain high quality investigations while ensuring efficient functioning. Those strategic objectives lead to activities such as: developing the ability to collect more diverse forms of evidence, including building capacity regarding science- and technology-based evidence; increasing the investigative field presence; continuing to implement a gender perspective in investigations; increasing the role of analysis, certifying staff, adapting the staff composition to the new environment; and further developing witness protection. 329. Annex V(e) structures the above objectives and provides performance indicators that show how progress towards each target will be measured. 330. The evaluation of the Strategic Plan (June 2012-2015)52 shows that the new strategy is yielding positive results in Court, while the effort to improve efficiency has continued year on year. These results have been achieved by prioritizing quality over quantity of work. Important investigations to respond to evolving situations (for example, new crimes in Darfur and Libya), or that have been pending for too long a time (for example, Côte d'Ivoire 2, bringing hibernated cases up to a standard of trial-readiness) can however no longer be delayed further without an irrevocable negative impact. 331. Thanks to the efforts in previous years' budgets, the Division has been able to better staff its teams. An appropriate level of quality is being reached by prioritizing quality over quantity of work and by stretching the timelines of investigations because the standard team size is not being met for ongoing investigations. Noting that an additional investigation, bringing the total to six, has become inevitable, the requested increase in resources is 52 See CBF/26/6, 7 March, 2016. 66 10-E-170816 ICC-ASP/15/10 sufficient to meet the increase in demand and will allow the Division to maintain the current quality level without prolonging the duration of investigative activities even further. 332. Past investment in quality forms a central part of the OTP's present and future strategy. Cyber investigation, increased forensic work in terms of audio and video enhancement, crime scene examination, exhumations and autopsies play a critical role in this, as does investment in training (for example, ongoing PEACE-model related training for investigative interviewing) and the continued development of networks with law enforcement agencies, forensic institutes, technology experts, NGOs and other partners. The 2017 budget continues to maintain this effort with a modest investment that allows the Division to stay abreast of current advances and re-invest where technology and equipment have become obsolete. 333. In the light of the present prosecutorial strategy - whereby the Office undertakes open-ended, in-depth investigations; prosecutes those most responsible, if needed via a strategy of working upwards from lower ranked individuals; and seeks to be trial-ready in principle at the time of the confirmation hearing - the Division developed a resource model in 2013 which was also the basis for the approved programme budget for 2014 through 2016 and for its contribution to the basic size report. The model takes into account the lessons learnt from previous experience, including the higher standards required by the Court's Chambers in relation to trial readiness and evidence collection. Budget resources 19,743.4 thousand 334. The requested amount has increased by 1,869.6 thousand (10.5 per cent). Staff make up 90.4 per cent of the costs and have the biggest impact on the budget. Additionally, the vast majority of the increase in 2017 is attributed to the resources brought on board through the Contingency Fund application for Georgia. These resources will continue to be required throughout 2017. 335. The requirements of a basic investigative team are highlighted in the basic size report, and while the current capacity of investigators still falls short of the identified needs, one new aspect is the addition of a Situation Specific Investigation Assistant. The Situation Specific Investigation Assistant will bring to the investigative team a deep knowledge of the situation country under investigation, including a better understanding of its socio-economic and cultural aspects. Being at Headquarters and/or deployed in the field, he or she supports the teams in establishing local/regional networks, identifying leads and investigative opportunities and collecting information from open sources, in particular when local languages are used. 336. The proposed understaffing for the teams in comparison to the basic size outlined in this budget proposal ensures that ongoing trials are fully supported, but capacity across the active investigations is on average approximately 21 per cent under-resourced. The continued consequences of this are: active investigations requiring more time to conduct the foreseen activities; investigative teams being unable to adequately react to any important unforeseen events, including article 70 investigations, without stopping or significantly reducing the resources allocated to other priority activities; no tracking capacity and diminished capacity to deal with cases in hibernation, in particular the necessary maintenance of contact with witnesses and identifying opportunities to gather new evidence. In total 32 GTA positions are required: One Team Leader/ Senior Investigator (P-4); ten Investigators (P-3); 15 Associate Investigators (P-2); two Information Management Assistants (GS-OL) and four Situation Specific Investigation Assistants (GS-OL). 337. The Investigations Analysis Section (IAS) houses both the Analysts (P-2 and P-3) and the Analysis Assistants (GS-OL). Eleven Analysis Assistants support the Integrated Teams with data input for FAD (Fact Analysis Databases) and other tasks. Two Analysis Assistants monitor crimes in situations under investigation which are not being looked at by the investigation teams so that it can inform the decision-making by the OTP's executive committee (Excom) on new cases it should consider for investigation, as well as the Prosecutor for her periodic reporting to the UN Security Council on the relevant situations. In total, the Section requires 18 GTA resources: eight Analysts (P-3) and ten Analysis Assistants (GS-OL). Staffing in both the Forensic Science Section (FSS) and the Planning 10-E-170816 67 ICC-ASP/15/10 and Operations Section (POS) remains below the level needed to support all teams. The 2017 GTA request aims to consolidate the Sections and the increases identified below are necessary to fill critical operational gaps. 338. The FSS provides scientific support to investigations and prosecutions as well as preliminary examinations. It is composed of three Units, i.e. the Forensic Unit (in charge of crime scene examinations, exhumations, autopsies, clinical examinations, criminalistics, etc.), the Cyber Unit (in charge of computer forensics, mobile and telecommunications forensics, cyber investigations, etc.) and the Imagery Unit (in charge of GIS and satellite image analysis, photo/video analysis, 3D mapping and reconstruction, drone imagery, etc.). In addition, the FSS maintains the Executive Secretariat of the OTP Scientific Advisory Board and develops the standard operating procedures and guidelines relating to scientific activities undertaken by the Office. In total, seven GTA positions are required for the Unit: two Forensic Officers (P-3), one Digital Imaging Officer (P-3), three Cyber Investigators (P-3) and one Forensic Officer (P-4). 339. Within the POS, the Protection Strategies Unit (PSU) is responsible for the holistic management of OTP witnesses. The Unit has a significant GTA component. In order to maintain the activities of the Unit at a level that can support the needs of the Office, seven GTA resources are required: two Associate Protection Strategies Officers (P-2) and five Protection Strategies Assistant (GS-OL). 340. The Operational Support Unit (OSU) is responsible for a holistic approach to operations within the OTP, from preliminary examination to investigation and prosecution. In total, seven GTA positions are required for the Unit: one Field Operations Officer (P-3), one Assistant Analyst (P-1), one Witness Management Assistant (GS-OL) and four Field Operations Coordinators (GS-OL). 341. The Data Processing Unit (DPU) catalogues the evidence collected and registered as effectively and as quickly as possible, in order to facilitate timely analysis, review and use in court. In total, four GTA positions are required for the Unit: all are Data Processing Assistants (GS-OL). 342. The Gender and Children's Unit plays an important role in relation to OTP policy development in relation to sexual and gender-based crimes, crimes against children, and the handling of vulnerable witnesses in general. It ensures the implementation of policy as well as constant research to improve the Office's methods in relation to these policies, including through the provision of training. There are no additional requests for the Unit. The Unit requires one (P-2) Associate Victims Expert. In addition, as in previous years, resources are needed to contract Psycho-Social Experts from the roster maintained by GCU when parallel investigative activities require simultaneous support beyond the Unit's capacity. Provision for the equivalent of eight work-months at the P-2 level is requested. 343. ID centralized its administrative function in 2011 and continues to benefit from the efficiency gains made. The need to assist Divisional management with the further deployment of the Investigation and Witness Management systems, the essential collection, collation and production of management information, efficiency and risk management monitoring, as well as support for priority projects and assistance in the Division's complex resource management requirements, including space management, led in 2016 to a change in the Unit's role from being purely administrative to assuming a planning and administration dimension. In total, the Unit requires four GTA positions: one Project Officer (P-3), one Assistant Planning and Control Officer (P-1) and two Administrative Assistants (GS-OL). Staff resources Established posts: Professional and General Service 17,853.8 thousand 13,107.1 thousand 344. The number of staff requested in 2017 is 139. This is an increase of 31 from 2016 as a result of the conversion of GTA posts and one P-5 redeployment from PD. This latter position facilitated the creation of the P-5 position of Head of IAS, as outlined in paragraph 347. 68 10-E-170816 ICC-ASP/15/10 345. The Division is headed by a Director, Investigation Division (D-1), assisted by one Administrative Assistant (GS-OL). 346. The Investigation Teams are headed by one Investigations Coordinator (P-5) and comprise three Team Leaders (P-4), six Senior Investigators (P-4), eighteen Investigators (P-3), eighteen Associate Investigators (P-2) and three Information Management Assistants (GS-OL). As mentioned in the 2016 budget narrative, 53 five Assistant Investigator (P-1) positions will be discontinued and replaced by Associate Investigator (P-2) positions for which a roster is available. This will enable the Office to align its resources with its current staffing strategy for the investigative teams. That measure will have no budget impact, will not change the number of requested FTEs for 2017, will place the Office closer to its model of investigative teams and will give staff members, qualified through a competitive recruitment process, the opportunity to progress professionally. 347. Eleven positions in the Investigation Teams - three Investigators (P-3), seven Associate Investigators (P-2) and one Information Management Assistant (GS-OL) - have been requested for conversion. 348. The Investigative Analysis Section (IAS) is headed by one Senior Analyst (P-5) and comprises one Analyst (Crime Pattern) (P-4), four Analysts (P-3), seven Associate Analysts (P-2) and three Analysis Assistants (GS-OL). 349. Five positions in the Investigative Analysis Section - two Analysts (P-3) and three Data Processing Assistant - FAD (GS-OL) - have been requested for conversion. 350. The Forensic Science Section (FSS) is headed by one Forensic Coordinator (P-5), and comprises one Forensic Officer (P-3), two Associate Analysts (GIS) (P-2) and one Information Storage Assistant (GS-OL). 351. Four positions in FSS - three Forensic Cyber Investigators (P-3), and one Forensic Officer (P-3) - have been requested for conversion. 352. The Planning and Operational Support Section (POS) is headed by one Head, Planning and Operations (P-5), and has one Head of Protection and Strategies Unit (P-4), one Head, Operational Support Unit (P-4), one Victims Expert (P-4), three Operations Officers (P-3), three Operations Risk and Field Officers (P-3), one Protection Strategies Officer (P-3), one Associate Protection Strategies Officer (P-2), one Data Processing Manager (P-2), two Associate Victims Experts (P-2), two Information Analysts (P-2), one Senior Administrative Assistant (GS-OL), two Protection Strategies Assistants (GS-OL), two Operations Assistants (GS-OL), five Field Operations Coordinators (GS-OL), two Field Operations Assistants (GS-OL), three Data Processing Assistants (GS-OL), two Investigation Assistants (GS-OL) and three Administrative Assistants (GS-OL). 353. Ten positions in POS - one Field Operations Officer (P-3), one Associate Victims Expert (P-1), one Assistant Analyst (P-1), two Protection Strategies Assistants (GS-OL), three Data Processing Assistants (GS-OL), and two Administrative Assistants (GS-OL) - have been requested for conversion General temporary assistance 4,746.7 thousand 354. The GTA provision requested to support the additional resources and increased activity of the Office for 2017 is 51 GTA positions. The new positions are exclusively linked to the resources requested in the Georgia Contingency Fund. 355. The GTA resources requested for Programme 2300 in 2017 are shown in detail below: 1. 2. 3. 4. One Forensic Officer (P-4), 6 months (0.5 FTE). new; One Forensic Officer (P-3), 12 months (1.0 FTE). New; One Digital Imaging Officer (P-3), 12 months (1.0 FTE). New; One Associate Protection Strategies Officer (P-2), 12 months (1.0 FTE). Continued; 53 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol II, part A, para. 219. 10-E-170816 69 ICC-ASP/15/10 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. One Associate Protection Strategies Officer (P-2), 12 months (1.0 FTE). New; Two Protection Strategies Assistants (GS-OL), 24 months (2.0 FTE). Continued; One Protection Strategies Assistant (GS-OL), 12 months (1.0 FTE). New; Four Field Operations Coordinators (GS-OL), 48 months (4.0 FTE). Continued; One Data Processing Assistants (GS-OL), 12 months (1.0 FTE). Continued; One Psycho-Social Expert (P-2), eight months (0.67 FTE). Continued; One Witness Management Assistant (GS-OL), 12 months (1.0 FTE). Continued; One Team Leader / Senior Investigator (P-4), 12 months (1.0 FTE). Continued; Four Investigators (P-3), 48 months (4.0 FTE ). Continued; Three Investigators (P-3), 36 months (3.0 FTE). New; Eight Associate Investigators (P-2), 96 months (8.0 FTE). Continued; Four Situation Specific Investigative Assistants (GS-OL), 48 months (4.0 FTE). New; One Information Management Assistant (GS-OL), 12 months (1.0 FTE). Continued; Five Analysts (P-3), 60 months (5.0 FTE). Continued; One Analyst (P-3), 12 months (1.0 FTE). New; Three Analysis Assistants (GS-OL), 36 months (3.0 FTE ). Continued; Four Analysis Assistants (GS-OL), 48 months (4.0 FTE ). New; One Planning and Control Officer (P-3), 12 months (1.0 FTE ). Continued; and One Assistant Planning and Control Officer (P-1), 12 months (1.0 FTE). Continued. 1,889.6 thousand Non-staff resources 356. The requested amount has increased by 278.2 thousand (17.3 per cent) and is required for travel and general operating expenses. Travel 1,409.6 thousand 357. The requested amount has increased by 228.8 thousand (19.4 per cent) as a result of the impact of the new investigative strategy coupled with the worsened security conditions in many situation countries. 358. During 2016, in order to limit the financial impact on that budget, the Office had to reduce its travel budget to the level of the 2015 approved budget. In reality, the actual amount spent on missions relating to active investigations in 2015 had been greater than the 2015 approved budget. Therefore, the final 2016 Travel budget line did not properly reflect operational needs. 359. A similar pattern is emerging in 2016 in terms of travel costs. In addition, it must be remembered that investigative activities in the field are dependent on security conditions and opportunities that are often outside the control of the Office. Hence, although maximum effort is devoted to improving mission planning and minimizing the cost per mission, in the interest of the long-term effectiveness of operations there is a need to exploit any window of opportunity that can lead to advancements in the investigations that in turn improve the trial-readiness of cases (and bring about savings for the Court in terms of expeditiousness of procedings). 360. The requested increase is required to support: (a) An increase in the number of missions by investigators due to having all investigator positions filled for a full year, and a modest increase in the number of investigators; (b) Forensic operations foreseen for each active investigation; 70 10-E-170816 ICC-ASP/15/10 (c) An increase - resulting from the increase in investigative missions - in support missions by victims experts and staff responsible for operational assessment in order to determine the approach for the investigative strategy, so that staff, witnesses or other persons are not exposed to risk as a result of the way in which an investigation is carried out; and (d) An increase in the cost of lodging due to limited available secure locations in the field, which pushes up prices in some situation countries in which teams operate. 361. The Office will continue to be as efficient as possible, adapting travel arrangements to maintain the most effective balance between flight and DSA costs, and prioritizing, to the extent possible, to adapt operations to the approved budget. General operating expenses 362. 480.0 thousand The requested amount has increased by 49.4 thousand (11.5 per cent). 363. This budget line is for costs necessarily incurred by witnesses attending interviews and costs relating to the Office's duty of care towards witnesses (including during the course of active investigations, trials and the remaining residual cases). These costs are not covered by VWS in the Registry, as they arise from the interaction between the OTP and witnesses (e.g. travel and accommodation for witness for an interview) and low-cost/low-impact security measures taken by the OTP in the light of the protocol between VWS and OTP. 364. Additionally, in order to absorb the increase in new witnesses due to the expanded investigative capacity, some expenditure is necessary for procuring, upgrading and enhancing the equipment used (such as telephones and panic buttons), which is provided, where appropriate, to persons towards whom the Office has a duty of care. Within the requested amount, 30.0 thousand has also been budgeted for the acquisition of satellite imagery. The demand for satellite imagery for evidentiary purposes is more frequent. For each active investigation, 5.0 thousand has been budgeted to acquire before and after images for an average of four crime scenes, as well as an additional two images for use in identifying mass graves and for operational purposes. 365. The Division made efficiency gains throughout 2015, amounting to approximately 264.0 thousand (1.66 per cent) in real terms. Examples of gains include approximately 34.0 thousand by adopting video-conferencing for recruitment, 25.0 thousand in outsourcing by creating internal audio enhancement capacity, and 33.0 thousand in missions as a result of better field management of witness contacts. During 2016, the Division anticipates achieving at least 1 per cent efficiency gains (estimated at 178.0 thousand). The continued use of Skype and GoTo Meetings software for recruitment purposes (estimated at 33.0 thousand), improved witness coordination reducing wasted missions (estimated at 33.0 thousand), use of specialized training (28.0 thousand), e-learning (estimated at 36.0 thousand), 0.5 analytical FTE (P-2) not required through inter-Organ Synergies project (48.0 thousand), and streamlining processes in addition to the topics mentioned above, have maintained these efficiency gains. The identification and implementation of the above efficiency gains will allow the Division to maintain the same level of activities with the same level of resources in the coming year. 366. While it is expected that these efficiency gains will continue throughout 2017 and be absorbed into regular practices (such as the saving of 0.5 analytical FTE), the Division remains alert to and reviews its activities in order to continuously identify additional areas for efficiency. 10-E-170816 71 ICC-ASP/15/10 Table 20: Sub-Programme 2300: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 9,665.2 Cont. Fund Total incl.CF 9,665.2 2016 Approved Budget 8,669.7 1,687.2 9,665.2 4,873.8 497.3 9,665.2 5,371.1 10,356.9 5,905.5 Resource changes Amount 2,063.5 686.7 2,750.2 -1,158.8 % 23.8 40.7 26.6 -19.6 Proposed 2017 estimates (thousands of euro) 10,733.2 2,373.9 13,107.1 4,746.7 2300 Investigation Division Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 4,873.8 1,920.8 497.3 476.2 5,371.1 2,397.0 5,905.5 1,180.8 -1,158.8 228.8 -19.6 19.4 4,746.7 1,409.6 34.2 12.3 46.5 550.6 38.1 588.7 430.6 49.4 11.5 480.0 2,505.6 17,044.6 526.6 1,023.9 3,032.2 18,068.5 1,611.4 17,873.8 278.2 1,869.6 17.3 10.5 1,889.6 19,743.4 Table 21: Sub-Programme 2300: Proposed Staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff Total staff 2300 Investigation Division Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 - - - 1 1 4 4 13 13 30 10 40 33 8 41 1 1 81 19 100 - 28 11 39 28 11 39 109 30 139 - - - - - 1.00 0.50 1.50 20.00 6.00 10.00 6.00 17.67 1.00 8.00 10.67 2.00 1.00 1.00 40.67 7.50 19.00 29.17 3.00 3.00 20.00 9.00 11.00 18.00 23.00 9.00 11.00 21.00 63.67 16.50 30.00 50.17 72 10-E-170816 ICC-ASP/15/10 4. Programme 2400: Prosecution Division Introduction 367. The Prosecution Division (PD) is central to the core mandate of the Court, namely the conduct of fair, effective and expeditious prosecutions in accordance with the Rome Statute. The Prosecution Division comprises the Prosecution and Appeals Sections. Under the overall management of its Director, PD is responsible for giving legal guidance to investigators; litigating cases before the Chambers of all three Judicial Divisions; preparing all written submissions in briefs and other filings to the Chambers; and participating in investigative and case-preparation activities in the Integrated Teams. Senior Trial Lawyers from the Prosecution Section are also entrusted with the task of leading the Integrated Teams, providing overall guidance on the investigation of cases, as well as leading trial teams before the Chambers of the Court. PD recruits, trains and monitors the performance of trial lawyers, appeals counsels, legal officers, case managers and trial support assistants. 368. The Appeals Section, led by the Senior Appeals Counsel, litigates all interlocutory and final appeals before the Appeals Chamber; prepares all applications for leave to appeal and responses to such applications filed by the defence and other parties before the Trial Chambers; drafts key trial filings, in particular those involving significant and novel international criminal law and procedural law issues; and provides legal advice to teams in the Prosecution Section as well as to other Sections of the Office such as the Situation Analysis Section, JCCD and the IOP. 369. The Prosecution and Appeals Sections also organize extensive training and lectures for staff within the Prosecution and other Divisions on written advocacy, oral advocacy, international human rights law, international criminal law, and technical topics, for example the presentation of evidence in Court. 370. For 2017, it is expected that the Prosecutions Division will remain engaged in trial activities in Ntaganda, Gbagbo and Blé Goudé and Ongwen. In addition, charges are expected to be brought for confirmation in one or more cases currently under investigation. It is also expected that the Appeals Section will have to deal with final appeals filed in the CAR article 70 and Bemba cases. Lastly, PD teams will remain engaged in investigative activities in the Georgia, CIV II, CAR II and other situations under investigation. 371. PD will continue to explore creative means of successfully presenting its cases in Court, including further developing its use of new techniques and technologies in the courtroom, as also identified as a priority area in the OTP Strategic Plan 2016-2018. 372. PD will also ensure that it adequately uses the different possibilities of criminal attribution offered by articles 25 (individual criminal responsibility) and 28 (responsibility of commanders and other superiors) of the Statute. Consistent with existing policies, PD will strive to ensure that charges brought by its teams cover sexual and gender-based crimes and crimes against children, where such crimes have occurred in the situation under investigation, as well as the most representative forms of victimization in the situation. PD will be particularly attentive to forms of victimization that have been traditionally undercharged internationally or domestically. 373. The Division has created internal coordination mechanisms, including working groups, and is part of office-wide initiatives working on priority areas of the Office and the Court, such as advocacy training, efficiency improvements, information management and Integrated Teams. Lastly, the Division will continue to use and improve the system of internal evidence reviews, as well as reviews of critical instances of presentation of the case in court, in an effort to make continuous critical assessments of the quality of its work and ensure a high quality output. 374. In line with the OTP Strategic Plan 2016-2018, PD has set its objectives for 2017. These can be found in Annex V (e). Budget resources 11,772.2 thousand 375. The requested amount has increased by only 47.2 thousand (0.4 per cent) over the approved 2016 budget. 10-E-170816 73 ICC-ASP/15/10 376. The activities of PD are characterized by, and dependent upon, the use of professionals specializing in the field of international criminal law. The majority of the Division budget is therefore concentrated in the Staff Resources line. 377. The Division requires additional non-staff resources to support its activities. Within the Office, most of these services are provided (and budgeted for) in sub-programmes 2110 and 2120. A specific allotment, however, is requested for Travel and is included in PD's budget. 378. PD has examined its current resources and allocated the positions in the teams where they are most needed. Staff members from cases that are not continuing in 2017 have been redeployed to new investigations, or to strengthen teams that were significantly understaffed in 2016. It is foreseen that 2017 will be a demanding year for the Prosecution Division, with three trials ongoing for a full year, two final appeals and six active investigations, which need full investigative pre-trial teams . 379. The present budget proposal for PD is very conservative, focusing only on the positions absolutely crucial to achieving the budget assumptions. Most of the teams will be smaller than recommended by the basic size, and no resources have been allocated for hibernated cases or any other activities. PD has put much effort into aligning the proposal with the concerns raised during previous budget meetings, while still reflecting the resources required to fulfil its mandate under the Rome Statue. Staff resources 11,398.1 thousand 380. The Division will comprise 106 staff members: 88 established posts and 18 GTA positions (17.8 FTE) in 2017. One P-5 established post has been redeployed to ID. Established posts: Professional and General Service 9,411.3 thousand 381. No additional established posts are requested apart from those included in the conversion list submitted to the Committee at its twenty-sixth session in April. 382. For budgetary purposes only, the Deputy Prosecutor (ASG) is allocated to the Prosecution Division. His role, however, is to act in full as the Deputy of the Prosecutor. In such capacity, the Deputy Prosecutor - under the direct supervision of the Prosecutor - oversees and coordinates the three Divisions: JCCD, ID, and PD. The Personal Assistant to the Deputy Prosecutor is also allocated to PD. 383. The Prosecution Division is led and managed by the Director, Prosecution Division (D-1), who oversees the effective deployment of resources, standardization of case preparations and filings. The Director, together with the Senior Appeals Counsel (P-5), reviews all filings and briefs before they are filed with the Court, to ensure they are legally consistent and persuasively written. The Director provides advice on cases to investigation and trial teams, often on issues arising on short notice. The Director is supported by one Case Manager Coordinator (P-2) and one Special Assistant (Prosecutions) (P-3) for the planning and coordination of the Division. Furthermore, the Director has one Personal Assistant (GS-OL) and two Administrative Assistants (GS-OL) who support the Division in the execution of all administrative matters, including the processing of travel claims and leave requests. 384. The Prosecution Division comprises the following Established posts: one Deputy Prosecutor (ASG), one Director of the Prosecution Division (D-1), eight Senior Trial Lawyers (P-5), one Senior Appeals Counsel (P-5), ten Trial Lawyers (P-4),54 three Appeals Counsels (P-4), four Trial Lawyers (P-3), one Legal Officer (P-3), one Appeals Counsel (P-3), seven Associate Trial Lawyers (P-2), one Assistant Trial Lawyer (P-1), five Case Managers (P-1), five Trial Support Assistants (GS-OL), one Legal Assistant (GS-OL), two Administrative Assistants (GS-OL), and one Personal Assistant (GS-OL). 385. The Integrated Teams are responsible for the investigation and prosecution of cases before the Court. In the first six months of an investigation (start-up phase), the activities of 54 The number includes one post (one Senior Investigator) which was laterally transferred from ID. The staff member is a lawyer and performs his duties within PD. 74 10-E-170816 ICC-ASP/15/10 the (small) prosecution component of the Integrated Team mainly focuses on the formulation of the case hypothesis. After the case hypothesis has been formulated, the investigation goes further into depth, with legal analysis of the evidence and ensuing drafting of an Application for a Warrant of Arrest. For this investigative pre-trial phase, a team of six lawyers, one Case Manager and one Trial Support Assistant (0.5 FTE), together with the Senior Trial Lawyer who leads the team, is required. The team will provide the legal and strategic guidance for the investigation, analyse evidence, develop the legal theory of the case, participate in investigative activities, including interviews under article 55(2) of the Rome Statue, prepare disclosure and draft relevant documents, including all filings, which may be necessary at the investigative stage. The Case Manager and Trial Support Assistant manage the evidence, information and filings, and support the lawyers in their tasks. The budget assumptions include six active investigations for 2017. 386. After the conclusion of an investigation, the case moves to the pre-trial confirmation and trial phase. The pre-trial confirmation phase concludes with a confirmation of charges which, in turn, initiates the trial phase. A team of eight Trial Lawyers, one Case Manager, one Legal Assistant and one Trial Support Assistant, led by a Senior Trial Lawyer, is required for each case that is in the pre-trial or trial phase. The lawyers, led by the Senior Trial Lawyer, will organize and prepare the case during the pre-trial and trial phases, including marshalling both inculpatory and exculpatory evidence, manage witnesses, provide guidance for additional investigations, manage disclosure, draft all filings and briefs for the Pre-Trial Chamber and the Trial Chamber, participate in hearings, and act at the confirmation hearing and at trial by examining and cross-examining witnesses and making submissions. The Case Manager and Trial Support Assistant will manage evidence, information and filings and will support the lawyers in their tasks. The budget assumptions include three cases at trial for 2017. When an application for a warrant of arrest is made and granted in one of the cases, the case can move from the investigative stage to the pre-trial stage. 387. The team compositions as described above are appropriate for most cases faced by the Court at this stage. However, variations in the investigations and prosecutions as a result of the complexity of the case and/or the number of suspects and accused can occur, including increasing teams for larger, more complex cases, and downsizing them for less complex cases. 388. The Appeals Section comprises the following established posts: 55 one Senior Appeals Counsel (P-5), who manages the Section and oversees all work carried out by the Section, two Appeals Counsels (P-4), one Legal Officer Appeals Counsel (P-4), one Appeals Counsel (P-3), one Associate Trial Lawyer (P-2) and one Case Manager (P-1). These posts are needed to address the work of the Section, which includes preparing all written filings and briefs on interlocutory and final appeals before the Appeals Chamber; arguing in all oral hearings in final appeals before the Appeals Chamber; conducting all litigation in the interlocutory and final appeals phases (including handling additional evidence and disclosure); preparing all applications for leave to appeal and responses to such applications filed by the defence and other parties before the Pre-Trial and Trial Chambers; and drafting and reviewing key trial filings, in particular those involving significant and novel international criminal law and procedural issues. 389. The Appeals Section plays a major role in providing legal research and advice - by written memos and oral advice - to all investigation and trial teams in the Prosecution Section, as well as to other Sections of the Office, such as the Situation Analysis Section, in relation to their preliminary examinations and reports, and to JCCD and IOP in relation to international criminal law issues. 390. The Appeals Section also conducts a variety of other litigation such as article 53(3) review proceedings, compensation proceedings, early release proceedings and reparations. In addition, the Appeals Section has been responsible for preparing and updating a thorough case digest of all decisions and Judgments issued by the Chambers since the inception of the Court, available for use by all Divisions in the Office, and coordinates 55 Three GTA positions complete the Appeals Section's team: two Appeals Counsels (P-3) and one Associate Appeals Counsel (P-2). See annex VI (c) for the details on all GTA positions in PD. 10-E-170816 75 ICC-ASP/15/10 extensive legal and written and oral advocacy training and lectures throughout the year for all staff in the Division, which is also open to other Divisions. General temporary assistance 1,986.8 thousand 391. In order to allow the Prosecution to carry out the activities provided for in the budget assumptions effectively, eighteen (18) GTA resources are requested. The details of the positions are shown below: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 392. Three Trial Lawyers (P-4), 36 months (3.0 FTE). Continued; One Trial Lawyer (P-4), 12 months (1.0 FTE). New; One Trial Lawyer (P-3), 12 months (1.0 FTE). Continued; One Trial Lawyer (P-3), 12 months (1.0 FTE). New; One Special Assistant (Prosecutions) (P-3), 12 months (1.0 FTE). Continued; Two Associate Trial Lawyers (P-2), 24 months (2.0 FTE). Continued; One Associate Appeals Counsel (P-2), 10 months (0.8 FTE). New; One Case Manager Coordinator (P-2), 12 months (1.0 FTE). Continued; Four Assistant Trial Lawyers (P-1), 48 months (4.0 FTE). Continued; One Case Manager (P-1), 12 months (1.0 FTE). Continued; One Trial Support Assistant (GS-OL), 12 months (1.0 FTE). Continued; and One Personal Assistant to the Deputy Prosecutor (GS-PL), 12 months (1.0 FTE). Continued. Reductions in comparison to the 2016 budget: (a) The position of the Prosecutor Coordinator (P-5) has been redeployed to the Investigations Division, to support the revised structure of ID; (b) PD has reduced the budget proposal by not requesting one Associate Trial Lawyer (P-2) included in the 2016 approved GTA list, in order to keep the increase in the budget to a minimum. 393. Additions in comparison to the 2016 budget: (a) To support the ongoing new investigation in Georgia, the Prosecution Division needs to keep two additional Trial Lawyers (one P-4 and one P-3). This is a reduction from the 2016 Contingency Fund request, which included four positions in total for PD. These two other positions in the Integrated Teams will be filled by deploying current staff members from cases that are not expected to continue in 2017; (b) The increase in the number of final appeals, including one multi-accused case and the increased role of the Appeals Section in legal advisory work and preparation of submissions and filings for pre-trial and trial teams leads to a significant increase in the work of the Appeals Section. Therefore, for 2017, one additional Appeals Counsel (P-2 GTA) is requested. The Appeals Section will then have nine staff members; the basic size model envisions an Appeals Section consisting of 13 staff members. Non-staff resources 374.1 thousand 394. Within the Office, most of the non-staff resources needed to support the Division's activities are provided (and budgeted for) in sub-programmes 2110 and 2120. The non-staff costs of Travel, however, are included in the PD budget. Travel 395. 374.1 thousand The requested amount has increased by 85.7 thousand (29.7 per cent). 76 10-E-170816 ICC-ASP/15/10 396. Prosecution staff regularly go on mission as part of the Integrated Teams to support ongoing investigations. The increased number of missions for investigations therefore also leads to increased travel by PD staff. Travel of PD staff is furthermore required in the pre-trial and trial phase of a case, including for the collection of article 68 declarations, witness preparation and to support witnesses who testify using a video link. A provision is furthermore made for the Deputy Prosecutor, Director of the Division and the Senior Appeals Counsel for missions in pursuit of their representative functions aimed at broadening understanding of, and cooperation for, the Office's activities. Table 22: Sub-Programme 2400: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 4,573.7 Cont. Fund Total incl.CF 4,573.7 2016 Approved Budget 5,448.9 531.8 4,573.7 4,215.9 577.8 4,573.7 4,793.7 5,980.7 5,455.9 Resource changes Amount 3,442.2 -11.6 3,430.6 -3,469.1 % 63.2 -2.2 57.4 -63.6 Proposed 2017 estimates (thousands of euro) 8,891.1 520.2 9,411.3 1,986.8 2400 Prosecution Division Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 4,215.9 210.1 577.8 47.9 4,793.7 258.0 5,455.9 288.4 -3,469.1 85.7 -63.6 29.7 1,986.8 374.1 17.3 15.9 33.2 227.4 9,017.0 63.8 641.6 291.2 9,658.6 288.4 11,725.0 85.7 47.2 29.7 0.4 374.1 11,772.2 Table 23: Sub-Programme 2400: Proposed Staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff Total staff 2400 Prosecution Division Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 - 1 1 - 1 1 9 9 13 1 14 6 12 18 7 4 11 7 19 26 44 36 80 - 8 8 8 8 52 36 88 - - - - - 4.00 1.00 1.00 4.00 14.00 1.00 12.00 3.00 7.00 0.83 4.00 3.83 24.00 19.00 5.00 49.00 2.83 36.00 15.83 - 2.00 2.00 2.00 2.00 51.00 2.83 36.00 17.83 10-E-170816 77 ICC-ASP/15/10 C. Major Programme III: Registry Introduction 397. The Registry is headed by the Registrar, the principal administrative officer of the Court, and is the organ responsible for the non-judicial aspects of the administration and servicing of the Court. This includes three key areas of responsibility and activity, organized along three Divisions: the Division of Management Services (DMS), the Division of Judicial Services (DJS) and the Division of External Operations (DEO). 398. Providing support to judicial proceedings is one of the central roles of the Registry. As a neutral service provider, the Registry supports judicial proceedings through, among other things, court management, support for and protection of victims and witnesses, facilitation of victims' participation in proceedings, court interpretation and translation services, and management of the detention facilities. The Registry's budgetary needs in these areas are directly driven by judicial and prosecutorial developments. 399. The Registry also provides administrative services for the three other organs of the Court, namely, the Presidency, Chambers and the Office of the Prosecutor, and all other major programmes, in areas such as human resources, budget, finance, procurement, facilities management, travel, transportation and information technology. The Registry's budgetary needs in these areas will depend on the needs of the three organs it services, noting, however, that the DMS is able to absorb more workload increases than others within the Registry. 400. The third main cluster of the Registry's responsibilities pertains to external relations, cooperation and field-related activities. This includes ensuring adequate judicial cooperation with States on a range of Court requests, concluding various cooperation agreements with States, such as those on the relocation of witnesses, providing the general public with information on judicial and other Court developments, and providing outreach activities in the communities affected by the crimes under the Court's jurisdiction. While the costs associated with these activities will also be driven by judicial developments, they will partially depend on external factors beyond the Court's control, including the level of State cooperation with the Court. Overview of Registry's budget requirements for 2017 401. The proposed 2017 budget for the Registry amounts to 79.60 million, which represents an increase of 6.84 million, or 9.4 per cent, compared to the 2016 approved budget of 72.75 million. Importantly, almost half of this growth is the result of in-built increases due to the application of the UN Common System (0.8 million), as well as the reintegration of 2.6 million of the reductions in staffing costs made in 2016 as a result of the staggered implementation of the Registry's new structure. Accordingly, the real operational increase in the Registry, that is, the increase in resources required to fund the upsurge in the workload resulting from the 2017 judicial assumptions and the Court-wide strategic priorities, is approximately 3.4 million, representing an increase of 4.7 per cent when compared to the 2016 approved programme. 402. The Registry is required to provide necessary and crucial services and investments for the realization of the high-level Court-wide priorities, including support to increased field operations, and in particular an increase in investigations by the OTP from four and a half in 2016 to six in 2017 (2.1 million); the additional support required in the light of the increased workload for proceedings in three trials in 2017 and other related support to judicial activities (2.4 million); and key investments in information management and information security which, in turn, are indispensable for overall support to both investigations and judicial activities (1.8 million). 403. At the same time, important reductions and savings have been identified throughout the organ for 2017, aimed at containing the overall increase. For example, most additional investments in field operations, including the establishment and maintenance of one new field office in Tbilisi, Georgia, and the maintenance of field presences and increased activities in Gulu, Uganda and in Western Côte d'Ivoire, have been offset by the reductions 78 10-E-170816 ICC-ASP/15/10 achieved through the scaling down and eventual closure in 2017 of the Nairobi field office and other reductions in the field (1.07 million). Similarly, reductions amounting to approximately 1.6 million have been achieved in legal aid mainly due to the resources required at the appeal phase of the proceedings in Bemba et al. (article 70) pending a final comprehensive review of the legal aid system. This was done taking into consideration the request of the Assembly and the recommendation of the Committee at their last sessions, respectively, to consider policy options on the level of legal aid to be provided by the Court to the accused in cases of offences against the administration of justice.56 Table 24: Investments Support to judicial proceedings Support to field operations, including increased OTP investigations Information management and information security investments Other investments Subtotal Reductions Legal Aid Field Office (Kenya) Field Office (Others) Other reductions Subtotal Net Increase 1.6 million 0.9 million 0.2 million 0.5 million 3.2 million 3.4 million 2.4 million 2.1 million 1.8 million 0.3 million 6.6 million Calculation of net increase based on approximate increases and reductions in Registry 404. The proposed budget also takes into account savings and efficiencies in a number of other areas. For the Registry, in particular, a model of only two courtrooms plus 60 additional days of hearings in a third courtroom is a much more cost-efficient option than a model with three full-time courtrooms. This is because in the present model, the Registry will have only two courtroom teams and will cope an with additional 60 days of hearings, as opposed to having an additional full third courtroom team on board. The three-courtroom model would have led to an increase of approximately 1.9 million, whereas the adopted model has led to an increase of about 0.5 million, thus representing a reduction of 1.4 million. The adopted model itself is based on a number of cost-saving measures such as cross-training of court management staff (courtroom officers), using freelance court reporters for transcription rather than outsourcing, using GTA resources for interpretation, where possible, and temporary assistance for meetings only for very short-term assignments, covering the need for additional security through overtime rather than recruitment of new staff, and hiring witness assistants on call, per diem, rather than as staff. 405. It is also worth noting one of the major cost-saving measure resulting from the Registry's reorganization, relates to the travel budget for VWS. In the pre-reorganization structure, VWS Headquarters staff were frequently required to travel to the field to meet with victims and witnesses in order to conduct assessments of their readiness to testify, and to review and manage cases generally, because VWS field staff had no decision-making authority. Under the new structure, VWS staff in the field have increased responsibilities and the capacity to manage cases locally, which significantly reduces the need for VWS Headquarters staff to travel to the field. These structural changes in VWS have led to a reduction in travel requirements by approximately 40 per cent on a yearly basis. This has allowed VWS to maintain the same travel budget from 2015 (1,086.1 thousand approved) in the 2016 budget (1,086.1 thousand approved) and in fact has led to a small reduction in 56 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol. I, part III, Resolution ICC-ASP/14/Res.1, para. 14 and ICC-ASP/15/5, para 100. 10-E-170816 79 ICC-ASP/15/10 VWS travel for 2017 (1,076.9 thousand requested), despite a significant increase in the number of witnesses and associated workload over this three-year period. 406. Lastly, with regard to the restoration of staff resources in the Registry following the staggered implementation of its structure in the light of the budgetary reductions in its 2016 approved budget, it is crucial to emphasize once again that, in order to ensure the Registry's ability to support the level of activities estimated for 2017, including, in particular, its judicial and investigative activities, its approved structure must be fully implemented. The Registry has nevertheless taken a more conservative approach, and will continue the staggering to some degree into 2017 in order to reduce budgetary needs. 407. In the light of the continued recruitment expected to extend into 2017, the Registry is proposing a temporary increase in its vacancy rate from 10 to 12 per cent, which will result in a further staggering of recruitment in 2017 by approximately 0.9 million of the 3.8 million57 that should, in principle, be restored in the Registry's staff costs. This will lead to a net increase of 2.6 million in 2017 in established posts. It is expected that staffing levels will return to the normal 10 per cent vacancy rate by mid-2017 and will need to be costed accordingly in subsequent budgets. 408. The proposed increase in Registry is the direct result of the implementation in 2017 of the strategic Court-wide priorities agreed by the Coordination Council (CoCo), namely: (a) (b) (c) (d) capacity. running and supporting proceedings in three trials; conducting and supporting six active investigations; ensuring the Registry's capacity to deliver Court-wide services; and, investments in key Court-wide information management projects and security Enhancing judicial efficiency: Running and supporting proceedings in three trials 409. With three cases expected to be at the trial hearing stage during 2017, the Registry will require increased staff and non-staff resources, such as court management, language and witness support and protection services for the trial and courtroom support teams to be able to perform effectively, and a maximum of three courtrooms to be fully functional and running simultaneously where required. 410. In close coordination with the Chambers, a hearing scheme was devised by the Registry, providing for a standing capacity of two courtroom teams with sufficient extra capacity to provide for temporary sequences of three courtroom teams, thereby ensuring maximum use of courtroom capacity against minimal increases in required resources. Accordingly, proceedings in three trials are envisaged to be mainly conducted in two of the three courtrooms, with only 60 days of full overlap in which the use of the third courtroom will be required. This means that support will be required for a total of 500 days of hearings, of which 440 days of simultaneous trial proceedings will take place in two courtrooms, with additional capacity to simultaneously run three courtrooms over 60 days. 411. The envisaged solution is based on the average maximum use of courtroom capacity of other international tribunals, in particular the ICTY, during the peak of their judicial activities. 412. To this effect, investments will be necessary for a sequential third courtroom team in the Registry, so as to save on the much higher costs that would otherwise have been incurred for a standing capacity of a third courtroom team. Having fully operational courtrooms in line with judicial needs will facilitate better planning, coordination and more expeditious proceedings, which in turn will result in savings for the institution. As explained before, the three-courtroom model would have led to an increase of approximately 1.9 million whereas the adopted model has led to an increase of about 0.5 million, thus representing a reduction of 1.4 million. 57 The total amount of 3.8 million corresponds to 3.4 million for established posts and an additional reduction of 0.4 million in GTA resources in 2016. 80 10-E-170816 ICC-ASP/15/10 Chart 2: Courtroom usage for trial proceedings in 2017 413. Requests for additional resources arising from the increase in judicial activities are limited to the strict minimum required to support the hearings, with provision for complementary resources by way of hiring freelancers, paying overtime and ensuring multi-disciplinary cross-training of relevant staff with a view to enabling an efficient and flexible use of resources. In other words, for the most part, the level of trial activities foreseen in 2017 can be sustained with the existing resources for two courtroom teams, while minimal extra capacity will be required to provide for the additional 60 days when three courtroom teams will be required to run simultaneously. 414. The overall increase required by the Registry in relation to supporting proceedings in judicial activities amounts to approximately 2.4 million. This includes not only a limited increase for courtroom support, but also all increases in the Registry directly associated with the judicial proceedings, such as in situation languages, outreach and activities in the field in relation to victim participation and witness protection in the context of the trial proceedings. Ensuring high-quality investigations: Supporting six active nvestigations 415. The Registry will, in 2017, continue to provide its full support and assistance for the OTP's two active investigations in CAR. The increased investigative activities next year will also include operations, such as forensic missions, outside the capital city Bangui. Support to these operations will have budgetary implications, inter alia, in the form of increased security support. In line with security advice, travel outside Bangui must be undertaken in convoys, which in turn will require additional vehicles, drivers and security personnel. The progress made in the investigations means that the Registry's Victims and Witnesses Section will also increase its operations in CAR to provide the necessary services to the OTP. Investigators and other OTP personnel will also continue to rely to a greater extent on the office space and equipment provided by the Field Office in Bangui. 416. The OTP's investigation in Côte d'Ivoire in relation to the anti-Gbagbo forces will likewise continue throughout 2017 and require the Registry's active support. While investigations will be conducted in the capital Abidjan, the OTP will also operate in the western part of the country. This will require the Registry to open a small satellite office in the region, solely to support these activities. An increasing number of missions will necessitate more vehicular and security support as compared to the previous year. Both the field office in Abidjan and the satellite presence in the west of Côte d'Ivoire will provide facilities to enable the OTP to operate effectively. 417. In order to facilitate the OTP's active investigation into the situation in Georgia, the Registry will open a field office in Tbilisi by the end of 2016. A presence on the ground will allow direct access to national and local authorities on whose support the Court's activities depend to a great extent. Focus will be placed on enhanced information security to safeguard the confidential information gathered during the investigation phase. A field presence in the region will also assist the OTP in its investigations, should evidence need to be secured outside the borders of the situation country. 418. In relation to the new active investigations in Libya and Darfur, while the Registry does not have field offices in those countries, it is ready to provide witness protection services in 2017 should the stage of the investigations require this. The analysis products provided by the Registry's Country Analysis Unit are also shared with the OTP and can assist in gaining a better understanding of the situation on the ground and thus further the investigations. 10-E-170816 81 ICC-ASP/15/10 419. In relation to the situation in Libya overall, despite the OTP's plans to operate mostly from outside Libya, some witness protection measures will need to be provided by the Registry. Ensuring the Registry's capacity to deliver crucial services in support of the Court's activities 420. Last year, the staff costs component of the approved Registry budget for 2016 was reduced by approximately 3.8 million as a result of the proposed staggered approach to the implementation of the Registry structure. In its report on its twenty-fifth session, the Committee expressly noted that the reductions to the 2016 budget increase achieved by postponing staffing the Registry represented a delay in expenditure. As a result, the Committee anticipated that some of these costs would appear in the Court's 2017 budget.58 421. Owing to this reduction, the Registry was required to stagger the implementation of its new structure throughout the year. Such a slow build-up of its structure means that the Registry is operating below the necessary capacity to provide the services required by the Court, including, in particular, judicial and investigative activities. 422. Indeed, in a number of areas the exceptionally high vacancy rate across the Registry in 2016 has had a significant impact. There have been delays in the delivery of transcripts, and delays and/or postponements of missions to the field by the OTP, Defence, VPRS and OPCV, which has slowed down investigations and judicial proceedings. Furthermore, when missions have taken place, the Registry has not always been able to provide adequate support to those who rely on its services. Within the Registry itself, a number of measures aimed at organizational development in areas of working methods, communication, streamlining of activities/efficiencies have been put on hold. At the same time, the negative impact on staff welfare and morale in the Registry has been significant, as the Registry staff have been requested to undertake additional duties in order to cover the gaps created by vacant posts. As such, while the Registry has largely managed to cope throughout 2016, prolonging the staggered recruitment beyond the vacancy rate increase of 12 per cent proposed by the Registry would be unsustainable and highly detrimental to the operations of the Registry and the Court. 423. In order to ensure the Registry's ability to support the level of activities estimated for 2017, the organ's approved structure must be fully implemented. In this regard, the Registry first needs to consolidate its current structural requirements so as to further support the foreseen increased workload of the institution next year. 424. In principle, in order to achieve this, the Registry would require the full restoration of staffing resources under established posts that were staggered in 2016, as well as the restoration of resources for the workload posts in the field. However, the Registry has taken a conservative approach, continuing the staggering to some degree into 2017 in order to contain the budgetary increases. In this regard, in the light of the continued recruitment expected to extend into 2017, the Registry is proposing a temporary increase in its vacancy rate from 10 to 12 per cent so as to accurately reflect the recruitment realities in the Registry. This measure is aimed at containing the increase in the Registry's staff costs by further staggering recruitment in 2017 by approximately 0.9 million which will lead to a net increase of approximately 2.6 million. It is expected in this regard that staffing levels will return to the normal 10 per cent vacancy rate by mid-2017 and will need to be costed accordingly in subsequent budgets. Investment in key Court-wide information management projects and security capacity 425. In 2017, the planned investments for information technology and management have prioritized optimizing Court proceedings and ensuring operational security and witness protection. The preliminary examinations and investigations from 2017 onwards have a strong focus on gathering evidence that is primarily digital, which needs to be securely captured, analysed, disclosed and maintained as evidence. Consequently the tools and systems used by the Court need to function effectively to protect both data and witnesses, 58 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol. II, part B.III, para. 33. 82 10-E-170816 ICC-ASP/15/10 from preliminary examinations through to appeals and reparations. While the Court has invested in the core infrastructure for network and communications, there has been very little investment in tools and systems to protect and manage data. Thus, the priorities for 2017 for information security, mobility and data storage are to provide the necessary tools and systems to address these gaps which could affect the Court's operations, the integrity of the data and the protection of witnesses. 426. Information security requires appropriate tools to provide up-to-date information on any suspicious activity directed towards the Court's systems or inside the network. Phase 2 of Threat Vulnerability and Detection will bolster the Court's ability not only to detect, but to quickly respond, contain and eliminate the threat. Currently the Court has been able to manage these threats. However, the activity is labour intensive and has disrupted the work of those impacted. As preliminary examinations extend to state and non-state actors with more sophisticated abilities to penetrate and disrupt, the Court must upgrade its ability to operate in the light of such threats. The Court recognizes that information security amounts to more than tools and systems. It also involves awareness and training for all Court staff, particularly those who are mobile and working in the field, on how to use systems appropriately to minimize the risk of data loss or unauthorised disclosure of data - both of which would not only impact operations but also compromise the safety of witnesses and tarnish the Court's reputation. The proposed improvements are the result of consultation with Court's organs and an assessment of the most cost-effective means to minimize the likelihood and impact of information security threats with a combination of new software, leveraging the expertise and services of external parties, where appropriate, and mobility and field work targeted staff training. 427. The increase in the Court's investigative activities and 500 days of court room activity will result in an exponentially increase the data volume. This is due to a number of factors: (i) the majority of evidence gathered from preliminary investigations will in future be in digital form, often in multi-media and high resolution formats; (ii) the increased importance of forensic and cyber investigative activities requires large volumes of storage (iii) the Statute requires that Court proceedings be recorded and publicly broadcast in both English and French. Maintaining this data requires sufficient storage. There are many ways to store data and the only means currently available to the Court are the most expensive. It has been possible to store historical data volumes within the budget. However, with the projected data volumes, the Court needs to implement a more sustainable and tiered storage, allowing for public and archival data to be maintained in a more cost-effective manner. This requires the purchase of hardware, software and consulting services in 2017 and will lead to efficiencies from 2018 onwards for DJS. 10-E-170816 83 ICC-ASP/15/10 Table 25: Major Programme III: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 37,291.3 Cont. Fund Total incl.CF 37,291.3 2016 Approved Budget 24,405.7 17,663.6 37,291.3 5,829.1 601.3 450.4 6,880.8 2,160.7 6.9 1,738.2 377.2 383.5 3,030.2 1,233.6 10,020.0 684.9 1,149.2 20,784.4 64,956.5 210.6 71.0 354.7 2,911.2 3,031.7 5.0 1,847.3 235.8 120.5 186.8 120.5 37,291.3 5,949.6 601.3 450.4 7,001.3 2,347.5 6.9 1,974.0 377.2 388.5 4,877.5 1,233.6 10,230.6 755.9 1,503.9 23,695.6 67,988.2 42,069.3 2,023.9 1,016.5 374.9 3,415.3 1,964.6 4.0 2,466.4 367.2 209.5 4,521.4 1,963.2 14,171.2 740.1 867.0 27,274.6 72,759.2 -51.0 131.2 224.8 -851.7 -760.4 835.8 171.5 980.1 962.2 6,843.8 -2.1 35.7 107.3 -18.8 -38.7 5.9 23.2 113.0 3.5 9.4 Resource changes Amount 3,120.6 354.1 3,474.7 2,018.4 371.1 17.4 2,406.9 281.9 % 12.8 2.0 8.3 99.7 36.5 4.6 70.5 14.3 Proposed 2017 estimates (thousands of euro) 27,526.3 18,017.7 45,544.0 4,042.3 1,387.6 392.3 5,822.2 2,246.5 4.0 2,415.4 498.4 434.3 3,669.7 1,202.8 15,007.0 911.6 1,847.1 28,236.8 79,603.0 Major Programme III Registry Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Table 26: III Registry Major Programme III: Proposed Staffing for 2017 Total P-staff and above GS-PL Total GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 1.00 1.00 5.00 3.33 8.33 5.00 4.00 9.00 4.00 4.00 10.00 12.33 22.33 1.67 0.03 1.70 17.43 8.04 25.47 19.10 8.07 27.17 29.10 20.40 49.51 1 1 3 3 20 2 22 43 43 84 1 85 88 1 89 5 5 244 4 248 15 15 310 1 311 325 1 326 569 5 574 84 10-E-170816 ICC-ASP/15/10 1. Programme 3100: Office of the Registrar Introduction 428. The Office of the Registrar ("OTR") encompasses both the Immediate Office of the Registrar ("IOR'') and the Legal Office (LO). IOR directly supports the Registrar in providing strategic leadership, coordination and guidance to all Registry Divisions, Sections and Offices, as well as in the management and supervision of the Registry. In addition, IOR facilitates the flow of information to and from the Registry Divisions and ensures proper high-level coordination with the other organs of the Court, as well as with external stakeholders. IOR supports the Registrar in the performance of his executive functions and coordinates the remaining executive functions which have been delegated to the Directors of the Registry Divisions. 429. The Legal Office is responsible for the performance of the legal functions arising from the duties assigned to the Registrar under the Court's legal framework. The LO ensures the quality and consistency of legal and policy approaches throughout the Registry in a range of subject matters, including human resources, finance, procurement and the coordination of all the Registry's legal submissions in judicial proceedings. In addition, the LO negotiates and prepares agreements and arrangements between the Court and third parties and, as appropriate, provides advise on the interpretation of the Headquarters Agreement in addition to other agreements. The LO represents the Court in litigation, both internally and externally, and acts as an interlocutor between the Court and States with respect to privileges and immunities. Operating environment 430. The OTR will ensure that the Registry as a whole is able to successfully perform the increased administrative and operational tasks demanded of it in 2017. Implementing and monitoring the staggered recruitment of vacant posts within the Registry has organ-wide implications. The level and type of support required from the Registry in relation to the different judicial activities necessitates that the Registrar not only provide oversight with respect to foreseen activities, but is also able to react and reprioritize activities should developments in situations and cases so require. Prosecutorial and judicial decisions with regard to ongoing investigations and cases, whether in the pre-trial, trial, appeals or reparations phases, mean that the operational direction and allocation of resources, both at Headquarters and in the field, will need to be constantly monitored to ensure optimal service delivery and consistent implementation of the legal position of the Registry. 431. The implementation of the new structure in the field, and the opening and closing of field offices, requires sustained attention from both the Registrar and his legal advisors to ensure that the strategic and legal premises for the Registry's engagement in these countries are sound. Administrative modalities continue to be developed to allow for efficient financial and human resource management in the field that is able to adapt to changes in the operating environment, while adhering to the regulatory framework governing the functioning of the Court. Security, both physical and information-related, needs to be ensured in the face of emerging threats as the Court expands its operations into new areas. Priorities Organizational development 432. Since 2015, each Registry Section has set out its own organizational development plans, divided into short, medium- and long-term development goals. The organizational development plans will provide the framework for further development and strengthening of the Registry during the course of 2017. They allow the Registry's management to ensure that set targets are met and that all Registry Divisions and Sections work in step towards compatible goals. The organizational development plans cover the following main areas: working methods of the Registry; delegation of authority and establishment of an accountability framework; performance management; and staff performance and morale. 10-E-170816 85 ICC-ASP/15/10 Strengthening strategic leadership through the Registry Management Team 433. The Registry Management Team (RMT) oversees and drives the executive management of the Registry. The RMT is the Registry's highest-level forum to advise and assist the Registrar on the strategic decisions, policy and major operational challenges the Court might face in 2017 due to an increase in the number of cases. The RMT is composed of the Registrar, the three Directors, the Legal Counsel, and the Chief of Staff of the Registrar's Immediate Office. The roles of the Registrar's Immediate Office and Director's offices focus mostly on strategic guidance and leadership. Following the completion of the staggered recruitment, all the posts required for the efficient functioning of the RMT have been filled in 2016. The RMT will be able to ensure that the goals set for 2017, especially in relation to priority activities, are met and that appropriate action is taken where necessary. Strategic and policy development 434. The OTR will be at the forefront in guiding the development of clear, consistent and transparent strategies and policies, both within the Registry and, as appropriate, Court-wide. The current Strategic Plan of the Court extends only until the end of 2017, and work must be undertaken next year to prepare an appropriate strategic framework for years to come. A number of existing policy gaps have been identified, especially with respect to human resources and the legal function that will be covered during the course of 2017. In relation to the former, performance management of staff is an area to which time and resources will be devoted in order to ensure that staff members, and the organization as a whole, deliver at the expected level and that individual staff receive feedback on their performance to ensure maximum performance of the Registry as a whole and optimal staff morale. Crisis management is another area in which the Registry, and the Court as a whole, needs to focus in order to be prepared for any contingencies that may arise either at Headquarters or in the field. Greater coordination of Registry legal functions 435. The LO has been structured to be directly responsible for all judicial filings submitted to the Chambers by the Registry. The aim is to increase the quality of Registry filings and to improve communication between the Chambers and the LO. The OTR aims to further strengthen the functions of the LO, so as to prevent inconsistencies in legal advice. In 2017, the Registry Legal Network, involving all Registry staff working on legal issues in the different sections, will be fully functional and thus ensure greater cooperation, consistency and timely provision of filings and other legal information provided to the Chambers. Budget resources 1,834.3 thousand 436. There has been an overall proposed increase of 434.7 thousand (31.1 per cent), mainly as the result of an increase in staff resources of 396.7 thousand, plus a modest increase in non-staff resources of 38.0 thousand for travel. Of the total proposed increase, 273.9 thousand results from partial reintegration of reductions made in 2016 in staff resources to stagger the implementation of the Registry's new staff structure, as well as the application of the UN Common System. Accordingly, the actual operational increase in OTR is 160.8 thousand (11.5 per cent). Staff resources 1,740.2 thousand 437. The increase of 396.7 thousand corresponds to the request for one additional GTA position amounting to 122.0 thousand, and an increase of 273.9 thousand resulting from in-built costs associated with the application of the UN Common System and the partial reintegration of cuts in staff resources made in 2016 as a result of the staggered implementation of the new Registry. 86 10-E-170816 ICC-ASP/15/10 Established posts: Professional and General Service 1,617.4 thousand 438. No new established posts are requested. The proposed amount for established posts has increased by 273.9 (20.4 per cent) as compared to the 2016 approved budget. As outlined above, these increases are due to the implementation of the previously approved Registry structure and the associated costs of the UN Common System. In the light of the proposed temporary rise in the Registry's vacancy rate in 2017, staff resources in established posts have increased by 273.9 thousand instead of the 310.7 thousand that would be required for the full costing of the OTR approved staffing structure, which is already fully in place. General temporary assistance 122.0 thousand 439. The overall increase of 122.0 thousand in general temporary assistance in the OTR is entirely related to additional requirements in the LO, linked to the increase in the Office's workload in relation to judicial matters. 440. One Legal Officer (P-3). 12 months. New. Considering the substantial increase in workload of the LO in the light of the forecast level of judicial proceedings, the position is required to provide additional support to the Office in ensuring the quality, uniformity and consistency of legal positions within Registry in relation to judicial matters. The LO's responsibilities within the Registry are pivotal in this regard, considering the number of different sections within the organ which are required to present legal and technical observations to the Chambers in relation to ongoing judicial matters in the proceedings. Non-staff resources 94.1 thousand 441. The overall increase in non-staff resources amounts to 38.0 thousand (67.7 per cent) and corresponds mainly to an increase in travel requirements in the LO and the IOR. The proposed increase of 5.0 thousand for consultants in the LO has been fully offset by a reduction of the same amount in contractual services. Travel 78.7 thousand 442. The proposed resources for travel in OTR have increased by 38.0 thousand (93.4 per cent) and relate to increases in both the IOR and the LO. 443. In the IOR, the proposed increase of 15.3 thousand is required for travel to New York to attend the sixteenth session of the Assembly of State Parties ("the Assembly"). In addition, resources continue to be required by the Registrar, or his representative, to travel for the purpose of increasing support and cooperation at the highest levels among States Parties and key external partners such as the United Nations, other IGOs, and NGOs. The Registrar's presence is also required in the field on particular occasions, for the purpose of strengthening the relationship with the situation countries and local authorities in order to ensure their smooth cooperation with the Court. 444. The proposed increase of 22.7 thousand in the LO is required for the travel expenses of the Legal Counsel, or staff members within the Registry Legal Network, in the light of the anticipated certifications of prior recorded testimony pursuant to rule 68 of the Rules of Procedure and Evidence expected in relation to Gbagbo and Blé Goudé, Ntaganda and Ongwen. Hospitality 4.0 thousand 445. The requested amount remains unchanged from the approved 2016 budget. The Registry has limited hospitality with the aim of increasing support and cooperation among States Parties and key external partners. Contractual services 0.0 thousand 446. The 5.0 thousand approved in 2016 for contractual services in the LO has been moved to consultants to better reflect the nature of these proposed expenditures. 10-E-170816 87 ICC-ASP/15/10 Training 6.4 thousand 447. The proposed amount remains unchanged from the approved 2016 budget and continues to be required to cover specialized training needs specific to the staff of the LO. In the light of its complex mandate, the staff and workload of the Office will increase considerably and working methods are changing. It is therefore imperative that investments be made in training both on substance and skills. Consultants 5.0 thousand 448. The proposed amount, which was previously under contractual services, remains unchanged and is required in the LO to cover consultancy and specific legal expertise needed at Headquarters and in the field, particularly concerning matters involving domestic legislation and jurisdictions. Securing timely, sound and accurate legal advice and assistance on such issues is essential in order to manage the Court's legal risk and defend its position in legal proceedings. Table 27: Programme 3100: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 1,523.9 Cont. Fund Total incl.CF 1,523.9 2016 Approved Budget 1,199.3 144.2 1,523.9 678.6 1,523.9 678.6 1,343.5 Resource changes Amount 274.7 -0.8 273.9 122.8 % 22.9 -0.6 20.4 Proposed 2017 estimates (thousands of euro) 1,474.0 143.4 1,617.4 122.8 3100 Office of the Registrar Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 678.6 74.3 5.9 15.0 122.7 2.4 -0.6 678.6 74.3 5.9 15.0 122.7 2.4 -0.6 40.7 4.0 5.0 6.4 122.8 38.0 93.4 122.8 78.7 4.0 -5.0 -100.0 6.4 5.0 5.0 219.7 2,422.2 219.7 2,422.2 56.1 1,399.6 38.0 434.7 67.7 31.1 94.1 1,834.3 Table 28: Programme 3100: Proposed Staffing for 2017 Total P-staff and above GS-PL Total GS-staff Total staff 3100 Office of the Registrar USG ASG Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 1 1 D-2 D-1 P-5 P-4 P-3 P-2 P-1 GS-OL - - 2 2 2 2 5 5 2 2 - 12 12 1 1 1 1 2 2 14 14 - - - - 1.00 1.00 - - 1.00 1.00 - - - 1.00 1.00 88 10-E-170816 ICC-ASP/15/10 2. Programme 3200: Division of Management Services Introduction 449. The Division of Management Services (DMS) provides administrative and management services in support of the operations of the Court as a whole. DMS consists of the Office of the Director (OD-DMS) (including the Occupational Health Unit and the SAP Team), the Human Resources Section (HRS), the Budget Section (BS), the Finance Section (FS), the General Services Section (GSS) and the Security and Safety Section (SSS). 450. The OD-DMS is tasked with a number of critical executive functions which include overseeing strategic resource planning for the efficient allocation of resources for the Court; coordinating risk management initiatives Court-wide; and coordinating and overseeing internal and external audit compliance. The Office undertook additional activities in 2016 on risk management and the follow-up of internal audit recommendations in line with the re-establishment of the Audit Committee and this work is expected to continue in 2017. 451. In practice, the work of the Division translates into management services; staff-related issues; budgetary and financial issues; infrastructure; compliance; security; transport and logistics; as well as travel and procurement services. With regard to staff-related issues, the Division is in charge of policy development for the entire Court, staff development and the provision of recruitment and performance management services. In terms of infrastructure, DMS is responsible for managing the Court's premises, including customer services; soft services such as catering, cleaning, running costs and utilities; and hard services such as buildings maintenance, major repairs and replacements. Moreover, DMS participates in the discussions with the Oversight Committee on the governance structure for the permanent premises and plays an important role in determining the correct level of maintenance and capital expenditures in Major Programme V. These services will be tendered in the course of 2017. The Division also provides round-the-clock security and safety services for the Court as a whole. 452. The Division coordinates the preparation of relevant reports and communications to oversight and external bodies such as the Assembly, the Hague Working Group, the Committee on Budget and Finance ("the Committee"), the Oversight Committee and the Audit Committee. DMS coordinates the preparation of the Court's annual programme budget; produces financial statements for the Court and for the Trust Fund for Victims (TFV); manages, monitors and reports on all the Court's funds in accordance with the requirements of the Assembly and of donors; manages the Court's liquid funds; and develops strategies to meet the Court's financial obligations. In addition, DMS is responsible for managing Court-wide special projects (including those related to SAP). Operating environment 453. The Division's new structure has made it largely fit-for-purpose and will allow it to effectively cope within its planned capacity with most of the administrative operational increases expected in 2017. That said, as throughout the Registry, one notable difference in the operating environment in 2017 compared to 2016 is the vacancy rate. In 2016, recruitment for a great number of vacant posts was staggered in order to reduce increases in the 2016 budget. This will also have an impact in 2017 when, in the light of the increase in the Registry's vacancy rate from 10 to 12 per cent, a number of recruitment processes will continue to be staggered during the first half of the year. This will have an effect on the requested staff costs but also on the work of the Division as the Sections most heavily involved in the build-up of the Registry structure are within DMS, in HRS, in relation to recruitment processes and the BS in terms of budgetary monitoring. The Registry is expected to have its full complement of established posts, within the standard 10 per cent vacancy rate, by July 2017. Strategic priorities in 2017 and link to the 2017 proposed programme budget 454. The overarching objective of DMS is to continue to provide the necessary administrative services, including financial transactions and procurement services as well as ensuring compliance both in headquarters and in the field; and support the adequate management of the Court's staff, budgetary, financial and infrastructural resources. To this 10-E-170816 89 ICC-ASP/15/10 end, in 2017 DMS will focus on solutions and investments to enhance its support and improve its services in the following priority areas and will continue coordinating and preparing relevant documentation for oversight and external bodies. Improved SAP capability 455. The Court's SAP capability needs to be improved in order to allow the current workforce to deal more efficiently with the increasing workload. In practice, this will mean, among other things, aligning administrative business processes, improving compliance and internal controls and minimizing risks by lowering the number of exceptions, errors and "work-arounds" in the administration. In addition, the expected benefits will be the introduction of automation and a reduced use of paper, and DMS will be supported in delivering against a growing demand for services, limiting the impact on human resources requirements in the future. 456. In 2017, the SAP team will focus, among other things, on the changes necessary for the implementation of the new ICSC compensation package in compliance with the UN Common System; the HR Renewal project aimed at reducing processing time and improving data quality by replacing paper forms with electronic forms; positioning budget and control with a view to ensuring a more efficient payroll posting process and improved transparency and control of staff costs; and, business planning and consolidation in order to ensure a more efficient budget preparation process and improved planning and forecasting. Staff-related: HR policies, training and performance management 457. In 2017, the Division will focus on improving the Court-wide human resources performance management system. Emphasis will be placed by the new HR Organisational Development Unit on developing strategies and programmes to ensure maximum return on investment in human resources, including performance management (policy, compliance, guidance, support to managers), staff training (prioritizing, organizing and coordinating training), and managerial development. 458. Furthermore, DMS will focus on devising and providing non-technical training initiatives for the benefit of staff throughout the Court. By centralizing resources and strategies for such training programmes within HRS, the Division will ensure better Court-wide coordination and achieve further synergies. While most of the training at the Court is performed through in-house resources, external expertise will be required in specialized areas where no such internal expertise is available. Transition to the new UN Common System compensation scheme 459. In the course of 2017, the Court will transition to the new UN Common System compensation scheme. The new system has been designed to generate savings over the long run. It is, however, not yet clear how the changes will effectively impact on the Court's staffing costs in particular during the initial transition. Significant work needs to be undertaken within the Division in this regard so as to ensure a smooth, effective and transparent transition to the new system, ensuring that all internal policies are fully and comprehensively aligned with the new system, that short- and long-term budgetary implications are adequately estimated and managed by developing the Court's in-house SAP capabilities accordingly, and that staff are provided with sufficient timely information on changes to their entitlements and compensation. Vehicle replacement in Field Offices 460. Most of the Court's vehicles in the field are between 8 and 13 years old and will need to be replaced gradually in the coming years, with the first replacement proposed in 2017. This is necessary in order to ensure the safety and effectiveness of field operations, as well as to provide a duty of care to the Court staff and avoid any liability for the institution in this regard. Budget resources 19,350.5 thousand 461. The requested resources have increased, for the entire Division, by 1,095.3 thousand (6.0 per cent) from 18,255.2 thousand approved for 2016 to the proposed level of 19,350.5 thousand for 2017. 90 10-E-170816 ICC-ASP/15/10 462. However, of this increase, 331.8 thousand is an in-built increase in staff costs stemming directly from full implementation of the Registry structure that was already approved for 2016 and from the associated costs of the UN Common System. When these costs are disregarded, the real operational increase for the Division in 2017 is 851.8 thousand (4.2 percent). 463. This operational increase of 763.5 thousand is largely due to the requested new GTA positions dealing with SAP, financial control and building maintenance (2.5 FTE in total), increased overtime for security staff to support a greater volume of courtroom activity, enhancement of SAP-related projects, including in relation to implementation of the new UN compensation scheme, necessary non-technical training for Court-wide needs for which resources are centralized within the Division, and recommended replacement of vehicles. These requested increases have been partially offset by proposed decreases in general operating expenses and travel, as detailed below. Staff resources 13,722.9 thousand 464. No new established posts are requested in 2017. The requested staff costs have increased by 647.1 thousand compared to 2016 of which, as outlined above, 331.8 thousand represents an increase due to the implementation of the previously approved Registry structure and the associated costs of the UN Common System. 465. Therefore, the real operational increase in staff resources amounts to 315.3 thousand and is exclusively linked to GTA and overtime expenses, as detailed below. Established posts: Professional and General Service 12,734.1 thousand 466. No new established posts are requested in the Division, either in the Professional or General Service category. Staffing levels for established posts are thus unchanged compared to 2016. In the light of the proposed temporary rise in the Registry's vacancy rate in 2017, staff resources in established posts have increased by 331.8 thousand instead of the 621.3 thousand required for the full implementation of the Division's structure. General temporary assistance 631.5 thousand 467. Requested resources for general temporary assistance have increased, compared to the DMS approved budget for 2016, by 277.9 thousand. This is because while GTA resources in SSS (7.0 FTE) and GSS (1.0 FTE) approved for 2016 continue to be required in 2017, two additional GTA positions are requested - one for enhancing the Court's SAP capability (1.0 FTE) and one mainly for strengthening the accounting and internal control functions including IPSAS compliance (1.0 FTE). 468. Seven Security Officers/Senior Security Officers (GS-OL), 12 months. Continued. These positions continue to be required in SSS to guarantee security support for active judicial proceedings in two courtrooms. They were approved for the 2016 budget and continue to be needed in 2017. The security operations to support judicial proceedings in a third courtroom for 60 days will be covered largely through overtime, as detailed below. 469. One Handyman, (GS-OL), one year, extended and increased from 6 to 12 months. Continued. This position continues to be required for the full year in GSS for preventative and corrective maintenance in the building and to continue transitioning into the new premises, serving approximately 1,000 clients in a building of 56,000 square metres. The position will ensure that proper maintenance is delivered in an efficient way and will be discontinued in 2018, by which time it is anticipated that a general maintenance contractor will assume these tasks. 470. One Associate ERP Systems Officer (P-2), 12 months. New. This position is requested in OD-DMS in order to automate and streamline business processes where possible, develop project plans, coordinate with the relevant sections across the Court and assist in the review of such processes, determination of requirements and implementation of SAP solutions. The Associate ERP Systems Officer will implement open audit and ReVision recommendations, address compliance issues, enhance relevant systems, and assist with SAP implementation of the new UN compensation package. Other international public sector organizations with a similar SAP application use, complexity and number of 10-E-170816 91 ICC-ASP/15/10 users as the Court have on average a ratio of 1.0 FTE per 100 users. However, at the Court, that ratio is currently 0.6 FTE per 100 users, and thus below industry standards. The requested new GTA position is aimed at partly rectifying the situation. 471. One Associate Accounts Officer (P-2), 12 months. New. One GTA position is requested at the P-2 level in the Accounts and Treasury Unit of the Division's Finance Section to strengthen the accounting function and internal financial control, as well as to ensure compliance with IPSAS. The need for this position is clearly supported by the External Audit report, which recommends that "in order to ensure effective and efficient internal control, the ICC complete the full deployment of the information system to prepare financial statements according to IPSAS and ensure the stability and reinforcement of the accounting function". 59 The External Auditor has also recognised in its report the added responsibilities resulting from the complexity of IPSAS, the fact that IPSAS require more highly technical resources and the constant growth in activity in recent years, which has had the effect of proportionally increasing volumes of accounting transactions to be processed. Approval of this GTA position is thus crucial as it would ensure the Court's compliance with its statutory financial reporting requirements, IPSAS standards, and the timely delivery of financial statements. Overtime 472. 357.3 thousand The requested amount represents an increase of 37.4 thousand (11.7 per cent). 473. The small increase in the overtime budget is solely required for SSS to cover the additional 60 days of hearings in a third courtroom. As these additional hearing days are spread out over the year in regular intervals, rather than within one single time period, it is not economical to hire additional temporary staff. Instead, covering these additional hearing days through overtime on the part of the existing security staff is the most cost-efficient option. 474. The General Services, Finance and Budget Sections of the Division present no proposed increases in their respective overtime budgets. Other Sections in the Division have no overtime requirements foreseen for 2017. Non-staff resources 5,627.6 thousand 475. The requested amount represents an increase of 448.2 thousand (6.0 per cent) for DMS, compared to its 2016 approved budget. As detailed below, requested increases include vehicle replacement, contractual services and Court-wide training needs. These increases have been partially reduced by proposed decreases in general operating expenses and travel. Travel 170.1 thousand 476. The Division's travel has been reduced by 34.4 thousand (16.8 percent compared) to 2016. 477. Proposed reductions have been most significant in SSS (56.8 thousand 35.5 per cent). This has been made possible by reducing the number of security liaison and support missions for the Court's elected officials, including through reduced demand for such support by the Presidency, as well as by reducing the number of staff involved in compliance verification and policy assurance missions from two to one. 478. On the other hand, a proposed increase in GSS travel of 12.1 thousand is necessary for travel to the field offices in order to determine the standards and requirements regarding facilities, vehicle fleet and asset management. 479. Other DMS Sections present minor increases in their travel budgets amounting in total to 10.3 thousand, mostly connected to participation in the sixteenth session of the Assembly in New York (OD-DMS and Budget), and the need for HRS to participate in network meetings to ensure the Court's alignment with the UN Common System, as well as for the Finance Section to attend the UN Task Force on Accounting Standards/IPSAS meeting. 59 Recommendation no 6. 92 10-E-170816 ICC-ASP/15/10 Contractual services 643.5 thousand 480. The amount requested for contractual services has increased by 198.9 thousand (44.7 per cent) compared to 2016. 481. This is largely due to the proposed strengthening of SAP projects in OD-DMS related to the new UN compensation scheme and HR Renewal which will introduce employee self-service. The requested increase is also the result of the need to undertake a thorough analysis and market review of the Court's ePerformance system. While these are Court-wide needs and services, the required resources are centralized in DMS (218.0 thousand). Improvements to these systems are necessary in order for the Court to work more efficiently with current staff numbers. Contractual services are required in addition to the newly request Associate ERP Systems Officer (P-2) in OD-DMS for the HR Renewal project. While the position will provide support to the SAP Team in the implementation of change requests and new efficiency and compliance initiatives, this large project requires a combination of different expertise for which additional resources are needed. 482. On the other hand, there is a proposed decrease for contractual services in the GSS (33.4 thousand). This is because the Court procured commercial insurance premiums at a more favourable rate than originally estimated. 483. In addition, a small increase of 12.3 thousand is requested in the Finance Section to cover the External Auditors' fees, the US Tax Reimbursement Administrative fees and the mandatory actuarial valuation required for IPSAS compliant financial statements. Similarly, the increase of 2.0 thousand proposed in HRS is required to cover the Court's participation as an observer in the UN Common System forums and networks. Other Sections in the Division present no increases. Training 332.8 thousand 484. The amount requested for the DMS training budget has increased by 98.2 thousand (41.9 percent). 485. In 2017, all non-technical training for the Court will be centralized within the HRS. The proposed increase for such Court-wide training is thus located almost entirely within the HRS budget (93.3 thousand). This amount is required for the Court's central management and leadership training, performance management training and language training. It also includes the Court's on-boarding programme for new staff. Finally, the amount includes the HRS technical training budget to ensure that the technical skills of HR staff are kept up-to-date. 486. The approved amount for training in recent years has been greatly below a reasonable level for an organization the size of the Court. An increase is thus required for investment in enhancing staff skills, competencies and motivation and creating of a results orientated culture. The Court is diligent in utilizing its own expertise and indeed, most training is done in-house. However, external expertise is sometimes necessary to run training programmes. It is considered that a Court-wide and harmonized approach to leadership development and performance management is essential at this stage to secure further organizational development at the Court. 487. Other Sections in the Division present similar training levels as those approved in 2016, with the GSS indicating a slight reduction of 2.0 thousand and the Director's Office and the Security and Safety Section an overall increase of less than 2.0 thousand. Notably, an increase of 5.0 thousand is requested in the Finance Section for specialized IPSAS refresher training for staff members of the Section and the Court. Consultants 488. 38.0 thousand The amount requested for consultants has increased by 23.4 thousand (160.3 per cent). 489. The amount requested in in DMS is divided between the Office of the Director (8.0 thousand) and HRS (15.4 thousand, of the total budget for consultants of 30.0 thousand). 490. In the Office of the Director, the requested resources are required to engage outside expertise and assist with the executive functions of OD-DMS mainly in the area of risk 10-E-170816 93 ICC-ASP/15/10 management, which includes the organization of the yearly risk ranking and the review of risk monitoring strategies. This will enable the Court to make further progress on its risk management initiatives in consultation with the Audit Committee. Limited resources for consultancy on risk management initiatives were requested for 2016 but not granted. As a result, little progress has been made in this area. 491. In HRS, the requested amount is required to provide expertise in areas for which in-house resources and skills are not available. In 2017, external insurance expertise is required for the major exercise of tendering the Court's health insurance programme. In addition, the amount will cover any post (re)classifications requiring external expertise. General operating expenses 3,510.1 thousand 492. The requested amount for general operating expenses in DMS has decreased by - 156.2 thousand (4.3 per cent). 493. This is mainly due to the decrease in the general operating expenses of GSS (- 151.3 thousand) because of revaluation of the needs for 2017, compared to 2016, using actual expenditures for the first half of 2016 as a guide. At Headquarters in The Hague and in support of the Court's activities there, the proposed amount of approximately 2,700.0 thousand includes the cost of utilities/cleaning/waste handling (2,043.0 thousand); standard foreseen building operations (543.0 thousand); and vehicle maintenance, spares and fuel in The Hague, logistics operations including freight to, from and between field offices, and courier and mail services (160.0 thousand). 494. The Court has requested the amount of 175.0 thousand for repairs to vehicles in its fleet at its field locations, as well as for necessary adjustments to premises at field locations to bring them up to a required standard. Further investment is required in infrastructure in CAR and Cote d'Ivoire (20.0 thousand at each) and for support for the offices in Kinshasa and Bunia in DRC (10.0 thousand at each). 495. Similarly, a reduction in general operating expenses of 10.0 thousand is proposed in the SSS due to the preventative and corrective maintenance of the greater volume of security screening equipment at the Court's. Minor increases in OD-DMS and the Finance Section amounting to approximately 5.0 thousand have been fully offset by the overall reduction in general operating expenses achieved throughout the Division. Supplies and materials 332.6 thousand 496. The amount requested for supplies and materials hs decreased by - 2.7 thousand (0.8 per cent). 497. This is largely due to a decrease in supplies and materials, notably uniforms, in the SSS (- 14.1 thousand). While in 2016 the Section saw a major increase in staffing and hence a greater demand for new uniforms, by 2017 all security staff will already have their uniforms and require replenishment and replacement of unserviceable items only. 498. The proposed decrease in SSS has allowed full absorption of an increase in supplies and materials in GSS (11.4 thousand). The requested funds in GSS are required to provide office supplies, toners, paper and vehicle spares/fluids, courtroom robes, work clothing and other materials. The increase is based on consumption in 2015 and the first quarter of 2016 and is linked to the increase in Court activities. Furniture and equipment 499. 600.5 thousand The requested amount has increased by 321.0 thousand (114.8 per cent). 500. The increase in GSS is due to the requested replacement of vehicles at field offices. There are currently 53 regular 4x4 vehicles and 9 armoured vehicles in the fleet, 27 and 6 of which, respectively, are between 8 and 13 years old. This is below the industry and UN standards (7 years or more than 100,000 kilometres) and impacts negatively on the safety and effectiveness of the Court's operations due to reduced reliability of the fleet and frequent repairs. Many of these vehicles have high mileage and have been driven on poorly paved and unpaved roads, causing extraordinary wear and tear and making their 94 10-E-170816 ICC-ASP/15/10 replacement imperative. The Court has a duty of care towards its staff to ensure their safety in the performance of their duties and is liable in the event of any failures in this regard. The Court thus proposes that it begin to update its fleet and to replace annually, from 2017 onwards, the equivalent of seven regular 4x4 vehicles and one armoured vehicle at a total estimated cost of approximately 510.0 thousand per year. The goal is to achieve an 8 and 10 year replacement cycle for regular and armoured vehicles respectively. 501. The Court proposes to maintain the amount of 35.0 thousand in 2017 to keep a minimal stock of replacement office furniture for its headquarters in The Hague. Although the building is new, as is some of the furniture, all the office furniture was taken from the Court's interim premises. As this furniture wears out, it needs to be replaced. 502. Other than the GSS, no other Sections in the DMS has a budget for furniture and equipment. Table 29: Programme 3200: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 12,219.9 Cont. Fund Total incl.CF 12,219.9 2016 Approved Budget 3,484.9 8,917.4 12,219.9 1,251.5 12,219.9 1,251.5 12,402.3 353.6 Resource changes Amount 276.3 55.5 331.8 277.9 % 7.9 0.6 2.7 78.6 Proposed 2017 estimates (thousands of euro) 3,761.2 8,972.9 12,734.1 631.5 3200 Division of Management Services Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 419.1 1,670.6 311.9 419.1 1,670.6 311.9 319.9 673.5 204.5 37.4 315.3 -34.4 11.7 46.8 -16.8 357.3 988.8 170.1 406.9 163.0 159.4 2,023.7 303.6 64.5 3,433.0 17,323.5 406.9 163.0 159.4 2,023.7 303.6 64.5 3,433.0 17,323.5 444.6 234.6 14.6 3,666.3 335.3 279.5 5,179.4 18,255.2 198.9 98.2 23.4 -156.2 -2.7 321.0 448.2 1,095.3 44.7 41.9 160.3 -4.3 -0.8 114.8 8.7 6.0 643.5 332.8 38.0 3,510.1 332.6 600.5 5,627.6 19,350.5 Table 30: Programme 3200: Proposed Staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staff Total staff 3200 Division of Management Services Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 - - - 1 1 5 5 8 8 12 12 6 6 - 32 32 8 8 138 138 146 146 178 178 - - - - - - - 2.00 2.00 - 2.00 2.00 - 8.00 8.00 8.00 8.00 8.00 2.00 10.00 10-E-170816 95 ICC-ASP/15/10 3. Programme 3300: Division of Judicial Services Introduction 503. The Division of Judicial Services (DJS) provides support to the Court's judicial proceedings. DJS consists of the Office of the Director (OD-DJS), the Court Management Section (CMS), the Detention Section (DS), the Language Services Section (LSS), the Victims Participation and Reparations Section (VPRS), the Information Management Services Section (IMSS), the Counsel Support Section (CSS) and both independent Offices of Public Counsel for Victims and for the Defence respectively (OPCV and OPCD). 504. The Division's Director ensures adequate strategic coordination of the Court's judicial operations and coordination of the implementation of Chamber's orders and instructions. The Director's Office provides support to the Registry's Legal Office which is responsible for the coordination and supervision of all Registry's submissions in the context of all judicial proceedings. 505. The judicial support provided by DJS focuses on key areas such as: (a) Organizing courtroom hearings; (b) Managing and handling judicial records, including the evidence submitted in the proceedings; (c) (d) (e) Ensuring adequate judicial communication for parties and participants; Functioning of the e-Court system; Ensuring safe, secure and humane conditions for persons detained by the Court; (f) Providing language services for the conduct of Court proceedings, including by safeguarding the ability of suspects and accused persons to follow proceedings, and witnesses to testify in their own language; (g) Implementing Court-ordered protective measures; (h) Enabling victims to make applications, to be legally represented and to participate in proceedings before the Court; (i) Managing legal aid for indigent defendants and victims and coordinating all assistance provided to counsel by the Court; as well as, (j) Providing in-house representation to victims participating in proceedings when ordered by the Chambers. Operating environment in 2017 506. Judicial activities before the Court are constantly evolving. This means that the level and kind of involvement, support and investment required in the Registry differs considerably between the different procedural phases. In order to fully understand how different forms of support are impacted throughout the judicial timeline, it is useful to analyse them from the perspective of the different procedural phases taking place in 2017. Pre-trial proceedings, including investigations 507. The OTP's new investigation into the situation in Georgia has required the Court to adapt and develop a tailor-made approach to the new operating environment. Information concerns are heightened in the context of these investigations. In addition, field interpretation in new languages is required, in particular Georgian, Ossetian and Russian. It is anticipated that a large number of victims will apply to participate in the proceedings. Trial proceedings 508. In 2017, proceedings in three trials will need to be organized to run in parallel: Gbagbo and Blé Goudé (CIV), Ongwen (Uganda), and Ntaganda (DRC). The increase in 96 10-E-170816 ICC-ASP/15/10 judicial activities has a direct impact on the required level of services and operations. A total of 500 trial days has been estimated in 2017, during which proceedings in three trial are envisaged to be mainly conducted in two of the three courtrooms, with only 60 days of full overlap in which the use of the third courtroom will be required. 509. In the case of the Prosecutor v. Dominic Ongwen, the accused is detained in the Court's custody and his defence team is being financed through legal aid. Approximately 2,000 victims are participating in the proceedings. OPCV has been appointed by the Chamber as common Legal Representative for victims. 28 witnesses are expected to appear to give testimony in relation to this case. 510. In the case of the Prosecutor v. Laurent Gbagbo and Charles Blé Goudé, both accused persons are detained in Court's custody and both of their respective defence teams are being financed through legal aid. 728 victims are participating in the proceedings and are being represented by OPCV. 29 witnesses are expected to appear to give testimony during 2017. 511. In the case of the Prosecutor v. Bosco Ntaganda, the accused is detained in Court's custody and his defence team is being financed through legal aid. 2142 victims are participating in these proceedings and are being represented by OPCV. 35 witnesses are expected to appear to give testimony during 2017. Appeal proceedings 512. In the context of the CAR I situation, two judicial proceedings are expected to be in the final appeals phase during 2017: Bemba and Bemba et al. The accused in Bemba is detained in the Court's custody and his defence team is being financed through legal aid. Bemba et al., in connection with offences against the administration of justice (article 70 of the Rome Statute), involves four other accused persons in addition to Mr Bemba. 513. In the light of recent judicial developments, the trial in the Prosecutor v. Al Faqi Al Mahdi is likely to take place in 2016 and to be completed by the end of the year. Reparation proceedings 514. In terms of judicial activities at the reparation phase, at least two proceedings - Lubanga and Katanga - are foreseen to be ongoing throughout 2017. Similarly, reparation proceedings have started in Bemba. 515. In Al Mahdi, applications from victims to participate in the case proceedings have been filed. Strategic priorities in 2017 516. In addition to providing all services required for judicial and prosecutorial activities, the main goals of the Division relate to information security and optimizing courtroom services, providing support for reparation proceedings, increasing the efficiency of legal aid management, and maintaining the delivery of detention services in the light of the scaling down of the ICTY. Information security and optimizing courtroom services 517. In 2017 the planned investments for information technology and management have prioritised for optimising court proceedings and ensuring operational security and witness protection. The tools and systems used by the Court need to function effectively to protect the data and the witness from preliminary examinations through to appeals and reparations. While the Court has invested in the core infrastructure for network and communications, there has been very little investment in tools and systems to protect and manage data. 518. Information security requires appropriate tools to provide up to date information on any suspicious activity directed towards the Court's systems or inside the network. Currently the Court has been able to manage these threats; however it is labour intensive and has disrupted the work of those impacted. The Court recognises that information 10-E-170816 97 ICC-ASP/15/10 security is more than tools and systems, it is also about awareness and training for all Court staff, particularly those who are mobile and working in the field on how to use systems appropriately to minimise risks to data loss or unauthorised disclosure of data - both of which would not only impact operations but also compromise the safety of witness and tarnish the Court's reputation. The proposed improvements are the result of consultation with Court organs and an assessment of the most cost effective means to minimise the likelihood and impact of information security threats. 519. With the increase in court investigative activities and 500 days of court room activity, this is an exponentially increase the volumes of data. With the projected data volumes, the Court needs to implement a more sustainable and tiered storage which allows for public and archival data to be maintained in more cost effective manner. This requires the purchase of hardware, software and consulting services in 2017 and will lead to efficiencies from 2018 onwards for DJS to meet the forecast demands for data growth. Reparations 520. Towards the end of 2015, the Court entered into the reparation phase in Lubanga. This is the first time in the Court's history that reparations will be implemented and as such, new procedures were developed to implement the decision of the Chambers and to overcome obstacles at the operational level. The initial phase of the reparation process in Lubanga required a great deal of coordination with various interlocutors (including the Registry, TFV, LRVs, OPCV and Chambers) and provision of information and support. Given that Katanga has entered the reparation phase, as perhaps too will Bemba and Al Mahdi, the Division is focused on optimizing its role in providing operational support to the Trust Fund for Victims and all other interlocutors during simultaneous reparations procedures. Increasing the efficiency of legal aid management 521. In the light of the potential increase in the number of proceedings for violations of article 70 of the Rome Statute, the Division intends to distinguish such proceedings from the more traditional proceedings for crimes under article 5 of the Statute. Accordingly, there has already been a reduction of over 1.5 in legal aid due to a change in the management of legal aid resources when proceedings move to the appeal phase. A comprehensive review of the legal aid system, including its application in cases of offences against the administration of justice, is expected to be finalized in due course, in accordance with the request of the Assembly and following the recommendation of the Committee at its twenty-sixth session.60 Maintaining delivery of detention services in the light of the scaling down of the ICTY 522. Due to the downsizing of the ICTY's United Nations Detention Unit (UNDU), a process will be put in place which will lead to a gradual increase in additional resources in the Court's Detention Centre, while UNDU is phased out. This gradual process is necessary in order for the Court's Detention Centre to perform functions previously shared with the UNDU. This solution can only be viewed as short-term and the Division will need to find a long-term solution. Budget resources 34,038.7 thousand 523. The Division presents an overall proposed net increase of 2,520.8 thousand (8.0 per cent) when compared to the approved 2016 budget levels. Importantly, almost 1 million of this growth is the result of in-built increases due to the application of the UN Common System, as well as the reintegration of reductions in staffing costs made in 2016 in view of the staggered implementation of the new Registry structure. Accordingly, the real operational increase in DJS, that is, the increase in resources required to fund the upsurge in 60 https://asp.icc-cpi.int/iccdocs/asp_docs/Resolutions/ASP14/ICC-ASP-14-Res1-ENG.pdf (para 14) and Report of the CXBF on the work of its twenty-sixth session (ICC-ASP/15/5, Para 12). 98 10-E-170816 ICC-ASP/15/10 the workload resulting from the 2017 judicial assumptions, is 1,520.8 thousand (4.8 per cent) compared to the 2016 approved programme. 524. The vast majority of the proposed additional resources corresponds to required investments in GTA resources and temporary assistance for meetings of approximately 1,423.5 thousand, primarly to fund additional language support in relation to trial proceedings, in particular in relation to the Ongwen case, as well as to ensure the additional necessary resources in CMS to support 500 days of simultaneous trial proceedings with an added capacity to run three courtrooms simultaneously over 60 days. In terms of non-staff resources, the Division presents an increase of 152.9 thousand (1.1 per cent). In this regard, major information technology investments in IMSS amounting to 1.8 million have been mostly offset by important savings achieved mainly in the legal aid budget of approximately 1.6 million. Staff resources 20,054.8 thousand 525. The increase of 2,367.9 thousand corresponds to an increase of 908.2 thousand resulting from in-built costs associated with the application of the UN Common System and the partial reintegration of cuts in staff resources made in 2016 due to the staggered implementation of the new Registry structure, as well as to a request for additional GTA and other staff resources amounting to 1,459.7 thousand. Established posts: Professional and General Service 16,878.8 thousand 526. The overall level of established posts remains the same in 2017. No new established posts are required. The proposed increase of 908.2 thousand is the result of the in-built increases arising from the application of the UN Common System, amounting to 1,291.6 thousand, and the restoration of the reductions made in staff resources in DJS in 2016 in the light of the staggered implementation of the new Registry structure. Notably, as the Registry is proposing a temporary increase of its vacancy rate from 10 to 12 per cent so as to accurately reflect the recruitment realities in the Registry, it is expected that by mid-2017 staffing levels will return to the normal 10 per cent vacancy rate and will need to be costed accordingly. 527. Following the recommendation of the Committee at its last session61, the Court is requesting the reclassification of the post of Chief of the Victims Participation and Reparations Section from P-4 to P-5. To this end, the Court has re-examined the functions of the post and submitted the final amended work survey to an external classifier. In June 2016, the amended functions of the post were assessed by an external classifier and the post was classified at the P-5 level. The Court has submitted additional information to the Committee for its consideration of the request to reclassify this post to the P-5 level within the 2017 proposed budget. In this regard, a small increase in established posts staff costs of 24.2 thousand is requested due to the proposed reclassification. General temporary assistance 2,146.5 thousand 528. The overall increase of 1,105.0 thousand (106.1 per cent) on general temporary assistance in the Division corresponds primarily to additional requirements in the Language Services (659.6 thousand), Victims Participation and Reparations (171.8 thousand) and Court Management (146.0 thousand) Sections. Other more modest increases are observed in OPCD (53.0 thousand), OPCV (2.3 thousand) and CSS (72.3thousand). The driving factor for all GTA proposed increases in the Division is the level of judicial activities, and in that connection, also the need to invest in more sustainable judicial management processes. Other sections within the Division also propose limited increases, as detailed below. 529. The requested amount of GTA resources in CMS has increased by 146.0 thousand. 530. One ALO/Courtroom Officer (P-2), 12 months. Continued. This position is required in CMS to support hearings, alongside the two existing ALO/Courtroom Officers, for two 61 ICC-ASP/15/5, para. 94. 10-E-170816 99 ICC-ASP/15/10 simultaneous trials. The number of ALOs/Courtroom Officers has remained at the same level as 2016. The workload related to the 60 days of three simultaneous trials in 2017 has been absorbed by three staff members, and no additional GTAs are required. This efficiency measure has been achieved through dedicated multidisciplinary cross-training of staff in the Section. 531. Three French Text Processors (GS-OL), 12 months each. Continued. In order to provide French real-time transcripts for one trial, a team of two Court Reporters and two Text Processors is required in CMS. The section currently employs five French Court Reporters (P-2). In order to provide edited versions of the French transcripts within the required time, an additional three French Text processors are required. 532. One e-Court Project Manager (P-4), 12 months. New. This position is now proposed in CMS following the Registry's reorganization, which resulted in strengthening the ownership of the entire eCourt system. CMS has been mandated to handle eCourt administration and management. For increased output and synergies, eCourt related functions are now grouped under CMS. This function will help develop eCourt technology to further expand the eCourt system with a view to streamlining systemic processes and rendering eCourt more functional and efficient for use by all relevant parties. This would automate a number of work processes presently carried out manually and make the system more fit-for-purpose regarding future challenges. The position is aligned to the 5-year strategy developed for information management, designed to improve processes and streamline the collection of judicial and court operations information. Process mapping and user requirement gathering will be the first step in improving the Court's electronic management of its judicial operations. The position was requested last year and was not funded. As a result, no progress on eCourt has been made during 2016. 533. The proposed amount in LSS has increased by 659.6 thousand. Additional staffing requirements in LSS are directly linked to the need for Acholi interpretation in Ongwen and the need for additional interpreters in the Court's working languages to cover the upsurge in trial proceedings more efficiently. 534. Three Court Interpreters Kinyarwanda (P-3), 12 months each. Continued. Bosco Ntaganda trial - Court capacity. The interpreters recruited in 2015 for the Ntaganda trial will continue on their GTA contracts in 2017. The section has one Senior Kinyarwanda, Swahili and Lingala Interpreter (P-4) to provide interpretation for the accused in Ntaganda from and into Kinyarwanda. The Senior Interpreter will work with three Kinyarwanda interpreters. By a decision of the Chamber, Kinyarwanda has been designated as one of the trial languages in Ntaganda, i.e. the language of the accused. 535. Three Court Interpreters (one English, two French), (P-3), 6 months each. New. Bosco Ntaganda trial - Court capacity. The three interpreters recruited on GTA contracts will support staff interpreters during the three simultaneous trials scheduled for six blocks of two weeks, as well as for a number of non-judicial events taking place alongside Court hearings. In the light of the expected workload, and the substantial costs associated with hiring freelance interpreters (temporary assistance for meetings) for sustained periods, resorting to GTA resources is a more cost-effective measure. 536. Three Paraprofessional Interpreters Acholi (P-1), 12 months each. New.Ongwen trial - Court capacity. Three of the four interpreters recruited in 2016 for the Ongwen trial under the Contingency Fund will continue to be required in 2017. The section's English Translation Unit includes one Acholi speaker (Associate Translator (P-2)) who in 2017 will be the fourth member of the team interpreting from and into Acholi for the accused and any Acholi-speaking witnesses. 537. One Language Assistant Acholi (GS-PL), 12 months. New. Ongwen trial - Operational support. One Language Assistant will be recruited for the start of the witness testimony stage of the Ongwen trial to assist with witness familiarization. The Language Assistant will also be called on to carry out unofficial ad hoc translations and sight translations for witnesses needs. 538. One Administrative Assistant (GSOL), 12 months. New. Operational support. One additional Administrative Assistant is needed in the section to work with the Administrative Assistant for Field and Operational Interpretation on the recruitment of freelance 100 10-E-170816 ICC-ASP/15/10 interpreters for trials and on the recruitment of field and operational interpreters, respectively. 539. The requested amount has increased by 173.0 thousand in VPRS. All GTA resources requested below are required during the first half of 2017 to maintain the additional capacity requested in the context of the Ongwen case Contingency Fund notification. This is crucial in order to respond to the peak in activities in Ongwen in relation to thousands of victim applications to participate in the trial proceedings, which is expected to subside entirely by the end of June next year. 540. Two Assistant Legal Officers (P-1), 6 months each. New. Ongwen trial. The positions will be required during the first half of 2017 for preliminary legal processing and to prepare the first draft of redacted versions of several thousand of individual victims' applications for participation in the Ongwen trial proceedings expected to be received, to be transmitted in accordance with deadlines set by the Trial Chamber. 541. Two Data Processing Assistants (GS-OL), 6 months each. New. Ongwen trial. The positions will be required during the first half of 2017 for carrying out the processing (scanning, registering, filing etc.), data entry and redaction of several thousand individual victim applications for participation in the Ongwen trial proceedings, to be transmitted in accordance with deadlines set by the Trial Chamber. 542. The requested amount in OPCV has increased by 2.3 thousand. 543. One Associate Legal Officer (P-2), 12 months. Continued. This position was approved in the 2016 budget. The position continues to be needed and it is essential for the satisfactory fulfilment of the OPCV's mandate. The Office has four teams allocated to ongoing proceedings at trial for which presence in the courtroom is required daily. This position is required to be able to follow the other ongoing proceedings and to provide external counsel with legal research and advice. The workload of the OPCV has increased by virtue of its appointment in 2016 in the Ongwen case and of the Chamber's decision in the Lubanga proceedings to require the OPCV to have an active role in interviewing potential applicants for reparations. 544. The requested amount in OPCD has increased by 53.0 thousand as a result of the need to budget for the continued Legal Officer position for 12 months in 2017 instead of only 7 in 2016. 545. One Legal Officer (P-3), 12 months. Continued. In the light of an increasing number of cases, especially at the trial stage, OPCD will continue to need adequate resources to assist trial teams in real-time or respond to requests for information. The Legal Officer will, in conjunction with the Associate Counsel (P-2), conduct legal research and prepare manuals to provide assistance to the defence teams, and execute policy functions where needed. This position will also assist the Legal Adviser/Counsel (P-4) in management duties by supervising the output of the OPCD and undertaking tasks arising out of requests made by the Chambers. 546. The amount requested in CSS has increased by 72.3 thousand. 547. One Service Coordinator (GS-OL), 12 months. New. In line with increased trial activities, including the activities of defence teams, this position is required to ensure a timely reaction to all service requests and to ensure timely delivery of required service to defence teams. Temporary assistance for meetings 994.5 thousand 548. Overall, temporary assistance for meetings has increased with 344.7 thousand (53 per cent). This is mainly the result of a proposed increase of 332.2 thousand in CMS to respond to the additional judicial activities in 2017, and in order to provide up-to-standard support to three simultaneous trials. The requested increase is required to complement the in-house capacity for the provision of English and French edited transcripts for both the second and third simultaneous trials. In the case of CMS, the recruitment of freelance Court Reporters and Text Processing Assistants is more cost efficient than recourse to contractual services for outsourcing services. The amount required to complement the court reporting capacity to support three parallel trials for a period of 60 days is approximately 145.0 10-E-170816 101 ICC-ASP/15/10 thousand. The remainder of the increase corresponds to the need to complement current capacity in court reporting teams to sustain services for two simultaneous trial proceedings for 440 days. 549. Notably, relying on outsourced services would have actually required a total increase of over 500 thousand in contractual services, and the services provided in French would have been only of a partial nature. Conversely, the current proposal requires a reduced investment of 332.2 thousand in temporary assistance for meetings to ensure a full up-to-standard service, and generates an actual reduction in contractual services which offsets a large portion of the investment in temporary assistance meetings. 550. Additionally, modest increases have been identified in IMSS (10.0 thousand) and LSS (12.5 thousand). The requested amount in LSS is the result of the strategic change to the concept of using GTA contracts for ENG/FRA interpreters, instead of temporary assistance for meetings, to support the periods during which proceedings in three trials are to be conducted in 2017. In the light of the forecast workload, and the substantial costs associated with hiring freelance interpreters for sustained periods (including travel and DSA costs), resorting to GTA resources is an efficiency measure. 551. Furthermore, the requested amount of 10.0 thousand is required for the provision of IMSS services for meetings, allowing IMSS to support all Court end-users to ensure continuity of the Court's judicial and administrative activities. Overtime 35.0 thousand 552. The requested amount for overtime for DJS has increased by 10.0 thousand (40 per cent) and resources have only been requested by one section for 2017. The requested amount in IMSS is consistent with the 2016 baseline and is required to accommodate upgrades and security fixes that must be completed outside of business hours to avoid disruption to the Court's activities. Non-staff resources 13,983.9 thousand 553. The requested increase in non-staff costs amounts to 152.9 thousand (1.1 per cent) and is largely related to: (i) investments in information security and information management to support the Court's capacity to adapt to a new operational environment of increased judicial activities and three parallel trials in 2017 (667.3 thousand) as per the Court's strategic priorities for investment in IT, the main investments required have been identified to augment the Court's capacity for data storage in support of the increase in courtroom activities and thus digital recordings of all Court activities, and improve the Court's information security capabilities to ensure the confidentiality and integrity of investigation activities in high surveillance environments; (ii) maintenance costs for hardware and software which is vital for the adequate functioning of courtroom equipment during the trial hearings (536.2 thousand); (iii) increased costs of the Detention Centre in the light of scaling down of the ICTY (276.0 thousand); and (iv) the appointment of OPCV as the common Legal Representative of victims in Ongwen, resulting in an increase in consultancy costs(149.7 thousand). 554. However, savings of around 1.6 million have been made in the areas of: legal aid for victims (760.4 thousand) and defence (851.7 thousand).; and contractual services ( 157,8 thousand) mainly as a result of recruiting freelance court reporters on an ad hoc basis during judicial proceedings, when required to complement in-house resources. Travel 520.8 thousand 555. The overall proposed travel costs for DJS for 2017 have increased by 113.7 thousand (27.9 per cent). The increase is mainly linked to the greater volume of judicial activities involving a corresponding increase in the number of victims participating in the proceedings who need representation and the support provided by OPCV, VPRS, CMS and LSS. 556. The travel costs for OD-DJS have decreased by 11.9 thousand as a result of redeploying resources to OD-DEO in connection with missions to the field offices. 102 10-E-170816 ICC-ASP/15/10 557. The requested amount for travel in CMS has increased by 25.1 thousand and is required to enable the ALO/Courtroom Officers to support anticipated video link testimonies by travelling to the relevant location. With a view to reducing costs, field staff are progressively trained to support video link instead of each video link requiring an ALO/Courtroom Officer to travel on site. Therefore, as a transition, only 50 per cent of planned video links include travel budget for an ALO/CO. 558. The requested amount has increased in LSS by 18.8 thousand and mainly reflects the high number of service requests for field interpretation submitted for 2017 by CSS (increase in field and operational activities in the DRC and Mali situations) and VWS (increased need for assessment missions in the CIV II situation). LSS staff will need to travel to the field to provide interpretation services to counsel for the defence and victims, as well as to VWS staff for communication with witnesses. 559. A reduction of 26.4 thousand has been achieved in VPRS due to the reorganization of the field offices. Following the restructuring, staff conducting VPRS activities are now part of the budget of the relevant field offices. As a result, VPRS staff no longer serve at the seat of the Court and are no longer required to travel from Headquarters to the locations of the victims' communities in order to facilitate and support the participation of victims in the proceedings or the Court's reparation activities. 560. The proposed travel budget in OPCV has increased by 42.5 thousand to ensure that counsel are able to travel to the situation countries to fulfil their representation mandate in the cases before the Court for which they have been assigned by Chambers. As of May 2016, counsel from the OPCV have been appointed as common Legal Representatives in Ntaganda, Gbabgo and Blé Goudé and Ongwen at trial; and in the Lubanga reparations proceedings, as well as for applicants for reparations in Bemba. Currently, OPCV represents a total of 5,442 victims. 561. The requested amount in CSS has increased by 60.4 thousand. The resources are required for the travel of members of the disciplinary organs from different parts of the world (Africa, America, Oceania) to attend one hearing in The Hague and for missions in the framework of the mandate of the financial investigator. In particular, funds are required for the Registry's financial investigator to liaise with relevant stakeholders and identify, trace and recover any assets belonging to persons appearing before the International Criminal Court. Contractual services 550.9 thousand 562. The proposal for contractual services for 2017 shows a reduction of 157.8 thousand (22.3 per cent) mainly as a result of the decrease of 320 thousand in CMS due to the fact that outsourcing of court reporting to complement in-house capacity is no longer required. As explained above, the Section will rely on hiring freelance court reporters as temporary assistance for meetings on a needs-basis during judicial proceedings, to complement in-house resources. Relying on outsourced services for court reporting would not have allowed for a reduction, but would have actually required an increase of over 500 thousand in contractual services, and the services provided in French would have been only of a partial nature. Conversely, the current proposal requires a reduced investment of 332.2 thousand in temporary assistance for meetings to ensure full service, and generates a decrease in contractual services which offsets a large portion of the investment. 563. The proposed increase of 182.2 thousand in IMSS is required to implement the strategic priority regarding investment in key Court-wide information management projects and security capacity throughout the Court, including, in particular, expanded storage capacity, implementing archival data storage and continued improvement in response to intelligence threats and cyber-attacks. In addition, the Court's synergies exercise in 2016 extended the Language Services eCourt module to OTP Translations; IT solutions will be needed to accommodate the increased workload in OPCV due to a greater number of participating victims and further improve their processes. Investments are required to improve the Witness Management Database; and, to migrate the Assembly's website to the Court's new website platform. Furthermore, external providers are required to augment internal skills for core Court systems such as court room support, maintaining the public 10-E-170816 103 ICC-ASP/15/10 website and processing inter-library loans. The reductions in contractual services in CMS fully offset the increases in IMSS and OPCV. 564. The requested amount in OPCV, linked to judicial activities in Lubanga and Ongwen, has increased by 20.0 thousand. The resources are required to transport of victims from their place of residence to a safe location where they can meet with counsel. Training 93.0 thousand 565. The proposed training budget for DJS shows an increase of 20.8 thousand (28.8 per cent) over the 2016 approved budget. The staff training budgeted for 2017 is an essential element which contributes to DJS being able to cope with the increased workload, and covers any additional expertise needed. A certain level of technical expertise is required in order for the Registry to provide optimal services to OTP and Chambers. The two main cost drivers are IMSS and DS. Other minor increases required in OD-DJS (4.1 thousand), VPRS (increase of 2.5 thousand) and OPCD (0.1 thousand). While the resource request in CMS remains at 5.5 thousand, LSS reports a decrease of 2.7 thousand. 566. The training budget required for IMSS is maintained at 60.7 thousand, in order for staff to receive the appropriate technical training to maintain certifications and skills to support all applications and infrastructure in use at the permanent premises. 567. Training is also required in the Detention Section, where the requested amount has increased by 16.8 thousand to train the Custody Officers on effects of long-term detention on detained persons and cross-cultural awareness in a detention environment. Consultants 391.3 thousand 568. The proposed budget for consultants for DJS has increased by 196.4 thousand (100.8 per cent). This amount is largely the result of a proposed increase in OPCV in relation to the appointment of OPCV Counsel as common Legal Representative in Ongwen; as well as legal representative of potential beneficiaries for reparations in Lubanga. For each proceeding, one consultant field counsel based in the situation country is required to maintain continuous contact with victims represented and keep them updated on the proceedings, to collect their views, concerns and evidence, as required. 569. LSS requires external expertise with case or situation languages which are needed when no in-house resources or skills are available. In 2017, two such expert panels are planned, in connection with the situations in Côte d'Ivoire and Uganda. Additionally, language consultants are required to facilitate and evaluate field interpretation tests for the selection of field interpreters for new situation languages in the Central African Republic, Côte d'Ivoire, Georgia and Mali situations, as well as potentially new situation languages in the Uganda situation. 570. The requested resources for OD-DJS, DS and VPRS remain at the respective 2016 approved levels. Counsel for the Defence 3,669.7 thousand 571. The requested amount has decreased by 851.7 thousand (18.8 per cent) as a result of the application of the Court's legal aid system as approved in 2012 to the assumptions on which the 2016 budget is based. Based on the revised legal aid system, the application of inter alia the amended remuneration for counsel representing clients in cases concerning offences against the administration of justice (article 70 of the Rome Statute) in the post-trial phase as well as activity-based remuneration where possible, the requested amount is 3,669.7 thousand compared to 4,521.4 thousand in 2016. Counsel for Victims 1,202.8 thousand 572. The requested amount has decreased by 760.4 thousand (38.7 per cent) as a result of the application of the Court's legal aid system as approved in 2012 to the assumptions on which the 2016 budget is based. Following the developments in court proceedings and 104 10-E-170816 ICC-ASP/15/10 some of the recent Chamber decisions to appoint OPCV as Legal Representative of victims in Ongwen, the amount requested for 2017 is 1,202.8 thousand compared to 1,963.2 thousand in 2016. General operating expenses 6,065.7 thousand 573. The proposed amount has increased by 830.3 thousand (15.9 per cent). The most significant increases are related to IMSS and DS. The increase in IMSS amounts to 536.2 thousand and is required for the maintenance costs of hardware and software which allows DJS to provide up-to-date and quality support provided by to Court activities. This increase relates to the essential support provided by IMSS to ensure the stability and operations of judicial and administrative systems and to supporting infrastructure to maintain the continuity of activities to support 500 days of hearings across three courtrooms. 574. The proposed increase of 276.0 thousand in DS is largely due to an increase in the services required under the Product Price Agreement and to the yearly indexing of the rental prices of cells as per the Product Price Agreement. Due to the downsizing of the ICTY UNDU, additional services are required in order for the Court's Detention Centre to perform its part of formerly shared functions. As a result of this downsizing, the product price has increased as the Court needs to cover additional costs, formerly covered by ICTY. The Court's Detention Centre has rigorously examined and streamlined all its working practices to minimize the impact of these requirements and to maximize efficiency gains. As a result, despite having the same number of wings and security obligations, the Court's Detention Centre will be operating with 16 per cent fewer custody officers when compared to the ICTY UNDU. 575. While relatively minor increases are identified in OD-DJS (13.1 thousand) and CSS (5.0 thousand), the budget request for OPCV is maintained at 11.0 thousand. Supplies and materials 289.4 thousand 576. The requested amount has increased by 94.3 thousand (48.3 per cent) and is mostly the result of enhanced services provided by IMSS in relation to online and library subscriptions and maintaining existing library subscriptions that are used by Chambers, OTP and defence and victims' counsel. Synergies across the Court are achieved by centralizing these subscriptions in the Registry. In addition, supplies are required for core services and materials such as printing, replacement of memory chips in hardware, AV supplies for the court-room and offices and end-user requests for language-specific keyboards, encrypted drives and laptop batteries. Furniture and equipment 1,200.3 thousand 577. IMSS is the only Section with a request for resources under this category. The proposed increase is 667.3 thousand (125.2 per cent)0, mainly due to prioritized capital investment for a Court-wide approach to augmenting data storage and infrastructure capability amounting to 655 thousand. The other major cost incurred by IMSS relates to investment in information security. The need to strengthen both information management and information security is directly linked to an increase in courtroom activities, and thus the digital recordings of these activities and, the additional storage and security of the AV recordings, as well as ensuring their security. 10-E-170816 105 ICC-ASP/15/10 Table 31: Programme 3300: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 16,369.0 Cont. Fund Total incl.CF 16,369.0 2016 Approved Budget 11,119.4 4,851.2 16,369.0 1,713.5 593.8 14.5 2,321.8 430.5 97.2 32.0 97.2 16,369.0 1,810.7 593.8 14.5 2,419.0 462.5 15,970.6 1,041.5 649.8 25.0 1,716.3 407.1 Resource changes Amount 831.0 77.2 908.2 1,105.0 344.7 10.0 1,459.7 113.7 % 7.5 1.6 5.7 106.1 53.0 40.0 85.0 27.9 Proposed 2017 estimates (thousands of euro) 11,950.4 4,928.4 16,878.8 2,146.5 994.5 35.0 3,176.0 520.8 3300 Division of Judiciary Services Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 424.8 82.1 221.7 3,030.2 1,233.6 4,720.4 128.2 795.8 11,067.3 29,758.1 24.6 449.4 82.1 708.7 72.2 194.9 4,521.4 1,963.2 5,235.4 195.1 533.0 13,831.0 31,517.9 -157.8 20.8 196.4 -851.7 -760.4 830.3 94.3 667.3 152.9 2,520.8 -22.3 28.8 100.8 -18.8 -38.7 15.9 48.3 125.2 1.1 8.0 550.9 93.0 391.3 3,669.7 1,202.8 6,065.7 289.4 1,200.3 13,983.9 34,038.7 5.0 1,847.3 226.7 4,877.5 1,233.6 64.0 26.1 78.6 2,077.6 2,174.8 4,784.4 154.3 874.4 13,144.9 31,932.9 Table 32: Programme 3300: Proposed staffing for 2017 Total P-staff Total and above GS-PL GS-OL GS-staffTotal staff 3300 Division of Judiciary Services Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 - - - 1 1 7 7 24 24 33 33 42 42 5 5 112 112 2 2 75 75 77 77 189 189 - - - - - 1.00 1.00 4.00 1.50 5.50 2.00 2.00 4.00 4.00 6.00 6.50 12.50 1.67 0.03 1.70 3.18 5.04 8.22 4.85 5.07 9.92 10.85 11.57 22.42 106 10-E-170816 ICC-ASP/15/10 4. Programme 3800: Division of External Operations Introduction 578. The Division of External Operations (DEO) is responsible for and consolidates the Registry's functions in the areas of cooperation, external communication, witness protection, analysis and field operations. In addition to the Office of the Director (OD-DEO), DEO consists of three sections at Headquarters, namely the Victims and Witnesses Section (VWS), the Public Information and Outreach Section (PIOS) and the External Operations Support Section (EOSS) as well as field presences in seven situation countries. 579. Within the Division, VWS provides protective measures and security arrangements, counselling and other assistance to witnesses, victims who appear before the Court and others who are at risk on account of testimony given by such witnesses. DEO is also responsible for external communication, and in this regard, for delivering accurate and timely information about the principles, objectives and activities of the Court to the general public and to target audiences. Through outreach, the Division ensures that communities affected by the cases before the Court are kept apprised of judicial proceedings. 580. With regard to external relations, the Division is further charged with performing the Registry's statutory responsibilities in relation to State cooperation and judicial assistance, such as the implementation of requests emanating from the Chambers and operational contacts with States regarding the arrest and surrender of persons subject to warrants of arrest. DEO provides high-quality, targeted and consolidated information and analysis on security and socio-political developments in countries of relevance for the work of the Court. This enables the Court to successfully perform its core activities, to meet its obligations towards the safety of staff and to safeguard its property and assets. 581. Finally, the Division is responsible for the field offices established in situation countries to facilitate and serve as the base for the operations of the Court. The size and composition of each field office is determined by the stage of investigative or judicial activities and is therefore bound to fluctuate according to specific needs. The Division also plays a central role in ensuring, at Headquarters, that logistical and administrative issues concerning the field offices are addressed effectively and efficiently. Crucially, DEO acts as the centre for all field-related mission-planning and supports the implementation of crisis management procedures. Operating environment for the Division of External Operations in 2017 582. In 2017, the Court will have 10 field presences in seven situation countries, namely the Central African Republic (CAR) , Côte d'Ivoire, the Democratic Republic of the Congo (DRC), Georgia, Kenya, Mali and Uganda. In three countries, the DRC, Côte d'Ivoire and Uganda, the Court, in addition to the field offices in the respective capitals, will have a satellite office in the proximity of the crime scenes and affected communities. These satellite offices can provide more efficient and cost-effective support by reducing the number of travel days and associated Daily Subsistence Allowance (DSA) payments. The Georgia Field Office will be newly-established, while the Kenya Field Office will be moving towards closure during the course of 2017. 583. The three simultaneous trials ongoing in 2017, involving a high number of witnesses expected to appear before the Court either in person or via a video-link, add to the demanding operating environment for the DEO. The active investigations carried out by the OTP in Côte d'Ivoire, CAR and Georgia will continue to require DEO support, while other actors such as the Trust Fund for Victims will also rely on DEO assistance in the field. The number and complexity of the cases before the Court as well as the need to operate in more situation countries than ever before mean that 2017 will be a challenging year from the point of view of external operations. The deterioration of the overall security situation in many areas in which the Court operates is another factor that has had to be fully taken into account in resource planning for 2017. 10-E-170816 107 ICC-ASP/15/10 Central African Republic 584. Activities in relation to the two ongoing situations in CAR will continue to require support from the field office in Bangui. The OTP plans to conduct two active investigations with respect to CAR II throughout 2017. Due to the volatile security situation and deficient infrastructure in the country, increased measures are needed to protect staff on the ground. Unlike the previous year, in 2017 the OTP plans to conduct missions to collect forensic evidence also outside the capital, support for which will require additional resources for the field office. Importantly, 1,200 individuals are currently participating in proceedings as victims in the CAR II situation. In this regard, outreach activities to inform victims and affected communities will also need to be intensified during the ongoing OTP investigations. A strengthened field presence in Bangui is required to support these activities in 2017. 585. Furthermore, two judicial proceedings in the context of CAR I, namely Bemba and Bemba et al. (article 70), will be in the final appeals phase in 2017 with the former possibly proceeding to the reparations phase. A total of 5000 individuals are participating in the proceedings relating to Bemba, a number which is expected to substantially increase as the case moves to the reparations phase. Outreach activities will continue to be organized in relation to all judicial proceedings to inform victims and affected communities of key developments, notably in relation to any such reparations proceedings in Bemba. Côte d'Ivoire 586. At the pre-trial level, the OTP will conduct active investigations in the capital Abidjan as well as in the west of the country. The warrant of arrest for Simone Gbagbo remains outstanding. A continued field presence in Abidjan, as well as a newly-established satellite office in western Côte d'Ivoire is necessary to support these activities. Increased resources are required for the field office to provide security and logistical support to the missions taking place in 2017, while the small field presence in the west of Côte d'Ivoire will allow the OTP to conduct its investigative activities more efficiently. 587. The trial of Laurent Gbagbo and Charles Blé Goudé will continue throughout 2017 with approximately 728 victims participating in the proceedings. Thirty-five witnesses are expected to appear to give testimony in 2017, either in person or via video-link. Moreover, the case will continue to require active public information and outreach efforts to ensure that accurate and timely information is made available in Côte d'Ivoire with respect to the proceedings. Democratic Republic of the Congo 588. The trial of Bosco Ntaganda will continue throughout next year, while cases against Thomas Lubanga and Germain Katanga are both in the reparations phase. In relation to Ntaganda, approximately 100 victims are participating in the proceedings while 35 witnesses are expected to appear to give testimony in 2017, either in person or via video-link. The warrant of arrest for Sylvestre Mudacumura remains outstanding. To support these activities, continued field presences in both the capital Kinshasa and in Bunia in the eastern DRC, are required. 589. All three cases concern crimes that have been committed in the eastern part of the DRC and will therefore require extensive activities by the Court in a region that continues to be wracked by violence and insecurity. Adequate measures need to be taken to ensure the security of staff working on the ground. Despite the difficult operating environment which is exacerbated by poor infrastructure, the ongoing trial and reparation phases make it imperative that activities in the field go ahead in order to reach out to victims and affected communities. Communicating accurate and timely information is vital for managing the expectations of victims who have waited for years to receive justice. The implementation of the reparations orders in Lubanga and Katanga, the first such orders in the history of the Court, is also essential to preserve the credibility of the institution. While stemming from the situation in the CAR, the case against Jean-Pierre Bemba will also require extensive external communication in the DRC on the part of the Court. 108 10-E-170816 ICC-ASP/15/10 Georgia 590. In 2017, the OTP will continue its investigations in relation to the situation in Georgia. In order to provide efficient and effective support to these activities, a small field office will be required in Tbilisi. The limited field presence will allow direct and immediate access to national and local authorities on whose cooperation and assistance the Court relies for the implementation of its operations in the country. One of the main challenges for the field office will be to establish and maintain secure communications. Resources will be required for enhanced physical and information security to safeguard the confidentiality of sensitive operations. The setting up of a Georgia field office will, however, allow the Court to reduce costs for travel from Headquarters which would have been significantly higher without a permanent presence in the country. 591. The majority of witnesses and victims reside within Georgia, thus making access to them easy from the capital Tbilisi. A large number of victims are anticipated to apply for participation in proceedings. The Court must prioritize outreach activities in the country, failing which the participation of victims and affected communities, and ultimately the credibility of the Court, would be seriously undermined. For the purposes of witness protection, the VWS will at this stage establish a small team for Georgia to begin building capacity in order to provide the required support. Kenya 592. Following judicial developments in 2016 with respect to the cases arising from the situation in Kenya, no further proceedings in relation to crimes under article 5 of the Rome Statute will be taking place in 2017. The warrants of arrest for three individuals charged with offences against the administration of justice remain outstanding. As such, the Court's activities will be significantly curtailed in Kenya during 2017. The only exception will be witness protection where the Court will continue to have responsibilities in relation to the security of witnesses and victims at risk. Unless unforeseen and compelling reasons dictate otherwise, the Court intends to close the field office in Nairobi in the course of 2017. 593. While VWS staff will remain in the country in 2017, all established posts in the Kenya Field Office will be abolished except that of Administration and Operations Officer (P-3) which will be maintained for nine months to facilitate witness protection activities and prepare the closure of the field office. All residual functions pertaining to public information and outreach in Kenya will be handled from the Uganda Field Office. Mali 594. The field office in Bamako is expected to support a limited OTP presence in the country for the first half of 2017. With Al Mahdi expected to be completed by the end of 2016, no judicial proceedings in relation to the situation in Mali are foreseen for next year. The Registry's responsibilities for witness protection will nevertheless continue in 2017, thus necessitating a field presence for operational support to the VWS. The continued violent attacks by terrorist groups against international staff working in Mali require adequate security arrangements to be in place for the Court's staff, property and assets. Uganda 595. The case against Dominic Ongwen is one of the three trials that are foreseen for 2017. Approximately 2,000 victims are currently participating in the proceedings and are being represented by both external Legal Representatives of victims and by the OPCV. Thirty-five witnesses are expected to appear to give testimony in relation to this case, with video-link testimony as an alternative. The warrants of arrest for Joseph Kony and Vincent Otti remain outstanding. 596. A field office in the capital Kampala and a small field presence in Gulu in northern Uganda are required in 2017 to support the increased activities associated with the start of trial proceedings in Ongwen. The affected communities, including over 50,000 victims, are scattered over a number of different locations in northern Uganda, often far away from towns. Additional resources are required for the field office to reach out to the affected 10-E-170816 109 ICC-ASP/15/10 communities to inform victims of their rights and to keep them apprised of the judicial process. In addition to meetings, regular radio programmes will be broadcast to enhance the Court's outreach efforts. 597. Apart from victim participation and outreach activities, the field office will also support the operations of the OTP, Legal Representatives of victims and the Defence. The opening of a small field presence in Gulu, closer to the affected communities will allow for more efficient and cost-effective operations. Strategic Priorities for 2017 598. The overarching objective of the Division of External Operations is to ensure high-level coordination and give strategic direction for all external operations of the Registry. To this end, in 2017 DEO will focus on developing processes and strengthening its capacity in the following three main priority areas. Enhancing judicial cooperation and assistance 599. Enhancing cooperation with key stakeholders in support of the judicial process is a primary objective of the DEO for 2017. Specific activities include the negotiation and conclusion of framework agreements and the development of networks for the purposes of asset tracking. DEO will also prioritize the collection of information pertaining to the whereabouts of suspects at large in order to secure arrests, as well as the tracking of assets and property belonging to accused persons for the purpose of accurate assessments of indigence. 600. Effective cooperation also requires that some resources be allocated for training relevant staff. Training modules aimed at increasing the Registry's ability to effectively conduct financial investigations and negotiations for the purposes of concluding framework agreements however have potentially positive budgetary impacts through, inter alia, reduced legal aid expenditures and improved ability to relocate vulnerable witnesses to third States. Strengthening witness support and protection 601. In the light of the continued activities in all situation countries, the number of persons under protective measures will remain high in 2017. Fifty new referrals for protection from the OTP are expected next year in addition to 22 referrals for the support programme and the establishment of 19 new initial response systems. Accordingly, over 110 witnesses will remain under protection in 2017, including witnesses in the Court's protection programme, assisted moves, assessment and other types of support. This figure includes 49 internationally relocated witnesses who are in the care of a third entity and under continued monitoring by the VWS. In total, 575 persons (110 witnesses and 465 dependents) are under protection measures. In this regard, effective cooperation by States in relocating vulnerable witnesses to their territory will have positive budgetary implications for the Court. The broader analysis functions within the Division are also used to assist analysts in the VWS in determining appropriate witness protection and relocation measures. Maximizing the Court-wide impact of field operations 602. A primary task of DEO in 2017 is to consolidate the new field structure by ensuring that there are adequate resources placed in the field for the Registry to provide support to its clients, for instance in relation to the active investigations by the OTP, as well as to perform its own mandated tasks. The ongoing judicial proceedings, especially those cases in the trial and reparations phases, will require the Uganda, DRC, CAR and Côte d'Ivoire Field Offices to undertake crucial activities in relation to outreach and victim participation and reparations. In the light of the implementation of the new structure in the field, it is essential for the Director of the DEO to ensure that operational modalities are in place between Headquarters and the field to enable effective coordination and communication between the two. 110 10-E-170816 ICC-ASP/15/10 Budget resources for the Division of External Operations 603. The overall proposed budget in 2017 for the DEO is 24,379.5 thousand, representing an increase of 2,793.0 thousand (12.9 per cent) as compared to the 2016 approved budget. However, 1,960.8 thousand of this increase represents established post staff costs and thus is mostly the result of reintegrating the reductions made to staff costs in 2016 with respect to the staggered implementation of the Registry's new structure as well as the in-built costs arising from the application of the UN Common System. Therefore, the actual operational net increase for the DEO resulting from a significantly heavier workload in 2017 is 832.2 thousand (3.8 per cent) when compared to the approved budget for 2016. 604. The proposed additional resources are requested to cover an increased volume of activities in relation to witness protection and field operations. With respect to staff resources, while new established posts and GTA positions are requested in relation to the situations in Georgia, Uganda, CAR and Mali, these are fully off-set by reductions in staffing for the Kenya Field Office. The increases in non-staff costs are mainly related to general operating expenses for the VWS and to support for the upsurge in activities in the field. 605. The proposed operational budgetary increase for field offices amounts to approximately 372.5 thousand (5.6 per cent). Within this limited increase, the Registry has been able to establish a new Georgia Field Office, enhance the CAR Field Office and establish two new satellite offices in Gulu (Uganda) and Western Côte d'Ivoire respectively. The downsizing and expected closure of the Kenya Field Office has allowed most of these investments to be absorbed within existing resources. Nevertheless, there is a substantial increase in projected activities in the field in 2017 which will require limited additional resources, including witness testimony and collection of victim applications in relation to the Ongwen case in Uganda, additional activities in the DRC in relation to reparation proceedings in Lubanga and Katanga as well as trial support in Ntaganda, and increases both in CAR and Côte d'Ivoire to support OTP investigations, and, in the latter, witness appearances in Gbagbo and Blé Goudé. Staff resources 15,848.3 thousand 606. The staff costs in the Division present a proposed of 2,469.9 (18.5 per cent) when compared to the approved 2016 budget. The majority of this increase is due to application of the UN Common System, as well as the reintegration of reductions made in 2016 in established posts in the light of the staggered implementation of Registry's new staffing structure. Notably, reductions in field offices, in particular the downsizing of the field office in Kenya, amount to 676.8 thousand, which offsets increases in established posts in other field, in particular Georgia, which amount to 554.2 thousand. The staff costs are therefore 122.6 thousand lower than they would have been under the 2016 staffing of established posts. Established posts: Professional and General Service 14,313.7 thousand 607. The amount requested for established posts has increased by 1,960.8 thousand (15.9 per cent) as compared to the 2016 approved budget. As outlined above, these are increases due to the implementation of the previously approved Registry structure and the associated costs of the UN Common System. In the light of the proposed temporary rise of the Registry's vacancy rate in 2017, staff resources in established posts have increased by 1,960.8 thousand instead of the 2,286.2 thousand required for the full implementation of the Division's structure. 608. Notably, there is a net decrease in overall established staffing levels in the Division. While five new established posts are requested for 2017 to support the Court's operations in the field, 10established posts are to be abolished in the Kenya Field Office. This results in an overall reduction of five established posts for the DEO as compared to 2016 and consequently a real decrease of 122.6thousand. 609. One Chief of Field Office (Georgia) (P-5), 12 months. New. The opening of the new Georgia Field Office will require minimum staffing consisting of one Chief of Field Office 10-E-170816 111 ICC-ASP/15/10 (P-5), one Field Security Officer (P-3) and one Field Assistant (VPRS/Outreach) (GS-OL). The Chief of Field Office will be responsible for setting up the new field office and ensuring that adequate arrangements are in place for the Court to be able to conduct its operations in Georgia effectively. The Chief of Field Office ensures a common and coordinated approach to the work of the office. The Chief is also responsible for facilitating judicial cooperation and for maintaining networks of key interlocutors to enable the Court to perform its mandate effectively. 610. One Field Security Officer (Georgia) (P-3). 12 months. New. The position is required for the field office to provide the necessary substantive services in term of the necessary security capacity on the ground to ensure the safety of staff, the Court's operations and missions, and its assets and property. 611. One Field Assistant (VPRS/Outreach) (Georgia) (GS-OL). 12 months. New. The position is required for the field office to provide the necessary substantive services in terms of victim participation and outreach. Field Assistants dedicated to victim participation, reparation and outreach work in a multidisciplinary manner allowing different functions to be performed by the same staff member. 612. One Chief of Field Office (Uganda) (P-5). 12 months. New. In Uganda, the commencement of the trial in the Ongwen case and concomitant field activities necessitate the establishment of the position of Chief of Field Office (P-5) to manage operations in the country. The significant increase in the volume and complexity of activities requires that the staffing structure in the Uganda Field Office be brought in line with the standard model for field presences. In the past, given the lower volume of judicial activities in the country, the Chief of Field Office in Kenya provided necessary coordination and supervision with respect to activities in Uganda. In light of the significant increase in judicial activities in the country, together with the abolition of the Chief of Field Office (P-5) in Kenya, the creation of this position becomes indispensable. 613. One Associate Field Security Officer (CAR) (P-2). 12 months. New. The position is requested for the CAR Field Office in order to ensure the same level of security services as is provided in the other field presences. The addition of the post will permit savings in travel costs as all field offices will have two security staff at the Professional level, thus obviating the need to temporarily move personnel between situation countries to cover for absences. 614. The significantly reduced activities in Kenya will result in the Registry abolishing 10 posts currently located in the field office in Nairobi. These consist of four Professional level positions, namely one Chief of Field Officer (P-5), two Field Officers (VPRS/Outreach) (P-3) and one Field Security Officer (P-3). The other six posts are at the General Service level and include one Administrative Assistant (GS-OL), one Local Security Assistant (GS-OL), two Field Assistants (VPRS/Outreach) (GS-OL) and two Drivers (GS-OL). General temporary assistance 1,141.5 thousand 615. The requested resources for GTA within the DEO have increased by 512.7 (81.5 per cent) from 2016. All 18 GTA positions, seven of which are newly requested for 2017, relate to witness protection and field operations. 616. To partially off-set this increase, the DRC Field Office will discontinue in 2017 GTA resources approved for 2016, namely, one Driver (GS-OL), one Cleaner (GS-OL) and a Field Assistant (VPRS/Outreach) (GS-OL). 617. Two Field Assistants (VPRS/Outreach) (Uganda) (GS-OL). 12 months. New. The positions are requested for the Uganda Field Office due to the increased number of activities and missions in 2017 to contact victims and affected communities, in particular in the light of the substantial number of victims expected to apply for participation in the Ongwen case, as well as the increased need to support outreach missions and activities. The requested resources are in line with equivalent resources already in place in the Field Offices in the DRC and Côte d'Ivoire, the two other situations where trials will be taking place in 2017. 112 10-E-170816 ICC-ASP/15/10 618. One Driver (Uganda) (GS-OL). 12 months. New. An additional driver is required to support the additional number of in-country missions foreseen in the light of trial proceedings in Ongwen. 619. One Field Security Officer (Mali) (P-3). 12 months. Continued. It is requested that this position be continued in order to provide an adequate level of security to staff operating in Mali. This would enable the Field Office in Mali, one of the most dangerous countries in which the Court is operating, to provide security support at an adequate level. Due to the varying level of activities in Mali, the position is requested as GTA for 2017. 620. One Associate Field Security Officer (Mali) (P-2). 12 months. New. The position is requested to support the work of the Field Security Officer (P-3) in order to provide an adequate level of security to staff operating in Mali. Due to the varying level activities in Mali, the position is requested as GTA for 2017. 621. Five ICT Technicians (GS-OL). 12 months. Continued. These positions continue to be required for the Uganda, DRC, CAR, Côte d'Ivoire and Kenya Field Offices due to the need to ensure uninterrupted IT services, notably in relation to witness testimonies conducted by way of video-link from the situation country. The positions will continue to be required until IMSS has had time to develop and gradually implement the "Field Office in a Box" IT solution. The concept refers to the outsourcing of IT support services while providing the necessary infrastructure and security from Headquarters. The position in the field office in Nairobi is requested for only three months in the light of the expected closure of the field office. 622. New GTA resources are requested for three positions in the VWS with respect to the situation in Georgia, where the Registry is responsible from the start of the investigations for providing its services in the area of witness protection. 623. One Team Leader (P-3) 10 months. New. This position is required for the new situation to lead the multidisciplinary team responsible for program set-up and case management of witnesses and victims under the responsibility of VWS; management of the ICCPP and witness movements; management of new protection cases following referrals for protection and support made by the parties; management of threat and risk assessments for inclusion in the ICCPP and recommendations on witness-protection measures; and preparation of relevant information for the senior managers and for the filings to be submitted to Chambers; The Team Leader in charge of Georgia will also be leading on the CAR and Libya situations. 624. One Associate Team Leader (Field) (P-2) 6 months. New. This position is required to lead the VWS field team in the field office and to support the Team Leader in the daily management of protection-related issues; run the IRS; manage protection-cases following referrals for protection and support made by the parties; conduct of threat and risk assessments for the inclusion in the ICCPP and recommendations on witness-protection measures; and collect and update of witness information for senior managers and for the filings to be submitted to Chambers. 625. One Associate Field Case Officer (P-2) 6 months. New. This position is required to assist the Associate Team Leader in the field and the Team Leader at Headquarters in managing the daily ICCPP case management workload, and the movements of witnesses. The staff member will also conduct threat/risk assessments for the purpose of including victims and witnesses in the ICCPP, assist with the management of protection cases following referrals for protection and support made by the parties, recommend witness-protection measures, and conduct and oversee witness-protection operations in the field. 626. A total of five GTA positions within the VWS are requested to be continued for 12 months in 2017. 627. One Associate Team Leader (P2) (Mali). 12 months. Continued. This position is required to lead the VWS field team in the field office and to support the Team Leader in the daily management of protection-related issues, running the IRS, managing existing protection cases; collecting and updating witness information for senior managers and for filings to be submitted to Chambers. 10-E-170816 113 ICC-ASP/15/10 628. One Associate Analyst (P2) (FO-OPS), 12 months. Continued. The position is required to support the Analyst in monitoring and reviewing the security situation in Uganda, Mali, Georgia and regions in which the Court operates, on security incidents involving victims and witnesses; to register information and intelligence collected; to provide analytical support to the VWS management in the absence of the Analyst; and to provide analytical interpretation on matters concerning the mandate of the VWS. 629. One Associate Training Officer (P-2) (FO-OPS), 12 months. Continued. The extension of this position in 2017 is required for the development, coordination, maintenance and delivery of the VWS training programme that is intended to provide staff with a consolidated understanding of the protection, risk and case management concepts necessary for the section's mandate. Safeguarding the confidentiality of VWS operations cannot be overemphasized. New staff, especially in the field must be apprised of the necessary operating standards. Considering the high level recruitment at Headquarters and in the field, it is essential that the position be extended in 2017 so that new staff benefit from the same level of training level as existing staff members. In accordance with the mandate of VWS, the Associate Training Officer will also provide training to other participants in the Court proceedings to ensure standardization of good practices and better understanding and management of witnesses and victims by all parties involved. 630. One Senior Planning Assistant (GS-OL) (CIS-OPS), 12 months. Continued. This position continues to be required to provide support to the Planning Officer and Associate Administrative Officer in managing an increased administrative workload with regard to witnesses appearing before the Court during simultaneous trials; the third court room; and the financial and logistical workload related to ICCPP participants. 631. One Senior Case Management Assistans (Mali) (GSOL), 12 months. Continued. The position is required for day-to-day interaction with ICCPP participants within the approved case management plans. The incumbent executes protection operations relating to threat and risk assessment missions, extraction of ICCPP participants and their transfer to third States, and the functioning of the initial response system in the field. Temporary assistance (other) 393.1 thousand 632. The increase of 26.4 thousand (7.2 per cent) for temporary assistance is directly linked to the greater number of witnesses appearing before the Court and the need for Witness Assistants (GS-OL) to support their stay at the seat of the Court. The continuation of the roster is required to facilitate and support the appearance of 92 witnesses before the Court and the workload related to the proposed 500 court days. Relying on an on-call roster of Witness Assistants allows the Division to use resources flexibly on a needs-basis, thus ensuring the long-term sustainability of the volume of operations in a cost-effective manner. 633. The roster is required to provide important welfare-related services to witnesses appearing before the Court in The Hague; to assists with escorting witnesses during their stay (for medical and other purposes); to monitor and support witnesses (day and night); to assist with day-to-day activities for the well-being of witnesses; and to provide logistical support to witnesses during their preparation by the calling party when such preparation is allowed by the Chambers. Non-staff resources 8,531.2 thousand 634. The proposed resources for non-staff costs in the DEO for 2017 have increased by 323.1 thousand (3.9 per cent). The main cost-drivers are travel and general operating expenses where the growth in activities, primarily in relation to field operations, requires additional resources. These are however partially off-set by reductions in contractual services and furniture and equipment. Travel 1,476.9 thousand 635. The resources requested have increased by 164.6 thousand (12.5 per cent). The costs of travel are driven by increases for the OD-DEO, where mission travel is necessary for the Director of the DEO and relevant supporting staff to both situation and non-situation 114 10-E-170816 ICC-ASP/15/10 countries to oversee the field presences and engage with high-level interlocutors to further cooperation with the Court. 636. The increased activities in the field will also require additional funds to be devoted to travel for some field office staff within the country. These resources are required mainly to cover the DSA of field staff on in-country missions, including necessary logistical and security support. In CAR resources are required to cover outreach activities, as well as for field security support for missions and activities, including in particular, OTP activities. In Côte d'Ivoire, the increase is proposed to reflect of the extension of the in-country support activities required in relation to both the ongoing judicial proceedings and the CIV II investigations. In Uganda the increase is largely due to the higher volume of activities taking place in the north of the country in connection with victim participation and reparations activities and outreach. With regard to Georgia, the requested amount is required for travel for the chief of mission to attend strategic planning meetings at Headquarters; as well as for duty driver and field security up-country mission support and assessment. Increases for the CAR, Côte d'Ivoire, Uganda and Georgia Field Offices are partly off-set by decreases for the other field presences. Travel for field staff to Headquarters has been kept at the minimum level necessary. 637. A limited capacity for field staff to travel to Headquarters is nevertheless required for strategic discussions with the substantive sections on field practices and to exchange relevant experiences between the offices so as to ensure a coherent approach, as well as for the Chief of Office to report annually on duty to the Director of the Division. 638. The decreases in the VWS travel budget have been able to partially off-set the overall increase for the DEO. This has been achieved through reinforcing staff resources in the field. Core activities can be conducted by the field-based staff, thus in many cases avoiding travel from Headquarters to the field. As a result, VWS has been able to absorb all workload related increases in travel, notably in relation to the new situation in Georgia. Travel resources nevertheless continue to be required for operational purposes to provide protection and support services, for example in relation to the relocation of witnesses. 639. All other Sections in the Division present travel budgets largely comparable to the 2016 approved level. Contractual services 1,221.0 thousand 640. The amount requested for contractual services for DEO has decreased by 87.1 thousand (6.7 per cent). This has been achieved through rigorous reprioritization of resources within DEO to contain the increase for the Uganda Field Office resulting from outreach and victim participation and reparation activities in relation to Ongwen. Resources are required not only to organize meetings with the affected communities, broadcast the proceedings and produce relevant material, but also to provide the necessary security to the missions. Funds are also requested for the maintenance of the CAR Field Office and to establish the new Georgia Field Office. 641. Substantially reduced resources are requested in EOSS for crisis management as well as for Court-wide consolidated information analysis purposes, in line with the objective of achieving synergies within the Court. The reduction of 50.0 thousand in contractual services in EOSS results from the redeployment of funds to the Mali Field Office and the decision to postpone investments in mission planning software pending the finalization of a holistic solution led by the Information Management Services Section. 642. The Court's public information activities rely on continued funding under contractual services. The resources are used for engaging with the media through, inter alia, training to journalists from key countries and targeted publications in the press to raise awareness of major developments at the Court. Materials and services are needed to provide general information on the Court to the public as well as to support the annual moot court competition and the campaign in relation to the Day of International Criminal Justice. In order to balance the necessary increases for other operational areas in DEO, savings of 42.0 thousand have been identified in PIOS for contractual services. 10-E-170816 115 ICC-ASP/15/10 Training 66.2 thousand 643. The resources requested for training have increased by 12.2 thousand (22.6 per cent). The increase results from the resources that are newly requested for the Uganda, DRC and CAR Field Offices for the purpose of providing training to a selected group of drivers to operate armoured vehicles which are used in the field offices for transportation. This is especially required in the light of the increased number of missions in the field and the precarious security situation in many areas where the Court operates. The training is designed to meet the minimum security standards set by the United Nations and would take place in Kampala, Uganda, which is the only location in the region where such specialized training is provided. 644. By redeploying resources at Headquarters, the combined proposed increases in training budget for EOSS (20.0 thousand) and PIOS (3.0 thousand) are fully offset by reductions in VWS amounting to 23.5 thousand, thus actually resulting in a minor decrease of 0.5 thousand. Notably, investments in specialized training modules aimed at increasing the Registry's ability to effectively conduct financial investigations have potentially positive budgetary impacts through, inter alia, reduced legal aid expenditure. General operating expenses 5,431.2 thousand 645. The amount requested for general operating expenses has increased by 161.7 thousand (3.1 per cent). The major cost-driver is witness protection where the additional workload from core operations is directly reflected in the increase of 271.0 thousand of the total 4,382 thousand proposed general operating expenses in VWS. It must be noted that the proposed increase for this budget line is significantly smaller than in previous years and reflects a trend whereby increases VWS for general operating expenses have fallen from 41.2 per cent in 2014 and 21.1 per cent in 2016 to the current proposed level of 6.6 per cent. This has been made possible by centralized and strengthened case management in the field. The requested resources would allow VWS to progress exits of witnesses and their dependents from the care of the Court and thus, other things being equal, lead to future savings. 646. The general operating expenses budget proposed for field offices in 2017 amounts to 1,006.2 thousand, representing a net increase of 20.8 thousand from the 2016 approved budget line. In this regard, the increases proposed for the Georgia, Côte d'Ivoire and CAR Field Offices are mostly off-set by reductions for the other field offices. Resources are required under this budget line mainly for the rent and maintenance of offices, utilities as well as any necessary maintenance of equipment and furniture. The establishment of the Georgia Field Office and the satellite office in western Côte d'Ivoire will require completely new investments. 647. Some of the resources previously requested under this budget line have been moved elsewhere. The reduction of 97.3 thousand for OD-DEO results from the redeployment of resources to OD-DJS to facilitate the appearance of persons summoned before the Court. The proposed resources for PIOS have decreased due to the fact that some items previously budgeted under general operating expenses have been moved to supplies and materials and furniture and equipment to better reflect the nature of the resources. While some resources are requested to be continued for PIOS for the purposes of maintaining equipment, limited new investments are proposed for EOSS mainly in relation to software applications for data analysis. Supplies and materials 289.6 thousand 648. The requested resources have increased by 79.9 thousand (38.1 per cent). The majority of this increase is the result of an upsurge in activities in the field where field offices need to purchase, among other things, more fuel for generators and vehicles to support the additional missions taking place in 2017. More office supplies will also be required for staff relying on the support infrastructure provided by the field offices. Funds, previously budgeted under general operating expenses, are requested for PIOS in relation to the annual software subscription to create information tools and new information products 116 10-E-170816 ICC-ASP/15/10 with more visuals so that they can be shared more easily, reach more people via social media and generate increased support for the Court from a wider range of audiences. Furniture and equipment 46.3 thousand 649. The requested amount has decreased by 8.2 thousand (15.0 per cent) as compared to the 2016 approved budget. The proposed increase of 20.0 thousand in PIOS to purchase audio-visual equipment and, editing and USB duplication equipment, has been fully offset by decreases resulting from the one-off investments made in 2016 for power generators in the Uganda and Mali Field Offices. Table 33: Programme 3800: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 7,178.5 Cont. Fund Total incl.CF 7,178.5 2016 Approved Budget 8,602.1 3,750.8 7,178.5 2,185.5 7.5 16.8 2,209.8 1,344.0 1.0 891.5 9.4 148.2 23.3 142.9 23.3 7,178.5 2,208.8 7.5 16.8 2,233.1 1,486.9 1.0 1,039.7 9.4 1,308.1 54.0 -87.1 12.2 -6.7 22.6 1,221.0 66.2 12,352.9 628.8 366.7 30.0 1,025.5 1,312.3 Resource changes Amount 1,738.6 222.2 1,960.8 512.7 26.4 -30.0 509.1 164.6 % 20.2 5.9 15.9 81.5 7.2 -100.0 49.6 12.5 1,534.6 1,476.9 Proposed 2017 estimates (thousands of euro) 10,340.7 3,973.0 14,313.7 1,141.5 393.1 3800 Division of External Operations Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 3,276.5 253.1 288.9 6,064.4 15,452.7 146.6 28.8 249.1 715.6 738.9 3,423.1 281.9 538.0 6,780.0 16,191.6 5,269.5 209.7 54.5 8,208.1 21,586.5 161.7 79.9 -8.2 323.1 2,793.0 3.1 38.1 -15.0 3.9 12.9 5,431.2 289.6 46.3 8,531.2 24,379.5 Table 34: Programme 3800: Proposed staffing for 2017 Total P-staff and above Total GS-PL GS-OL GS-staff Total staff 3800 Division of External Operations Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 - - - 1 1 6 2 8 8 8 34 1 35 38 1 39 - 87 4 91 4 4 96 1 97 100 1 101 187 5 192 - - - - - - 1.00 0.83 1.83 3.00 2.00 5.00 - 4.00 2.83 6.83 - 6.25 3.00 9.25 6.25 3.00 9.25 10.25 5.83 16.08 10-E-170816 117 ICC-ASP/15/10 D. Major Programme IV: Secretariat of the Assembly of States Parties Introduction 650. The Secretariat (SASP) provides the Assembly and its Bureau and subsidiary bodies with administrative and technical assistance in the discharge of their functions under the Statute. 62 The conference-servicing functions of the Secretariat include the planning, preparation and coordination of the meetings of the Assembly and its subsidiary bodies, and receiving, translating, reproducing and distributing their documents, reports and decisions. In addition, it provides substantive servicing of the Assembly and its subsidiary bodies. The substantive servicing functions include, inter alia, providing legal and substantive secretariat services, such as the provision of documentation, reports and analytical summaries, and supplying advice within the Secretariat on legal and substantive issues relating to the work of the Assembly. 651. The Secretariat has four sub-programmes: Sub-programme 4100 (Conference), Sub-programme 4200 (Secretariat of the Assembly), Sub-programme 4400 (Office of the President of the Assembly), and Sub-programme 4500 (Committee on Budget and Finance). Table 35: Expected results, performance indicators and targets 2017 Performance indicators Target 2017 n/a Expected results Objective 1 Conference held as planned - Meetings run smoothly, end on time and reports adopted - All agenda items are considered - Participants are supported substantively and logistically at meetings, including with registration, provision of documentation and language services - Session participants are satisfied with the arrangements and information provided Objective 2 - States are provided and satisfied with quality conference services and with the editing, translation and timely issuance of documents, in four Quality edited and translated documents 63 official languages, which fully support them in their functions released for processing, production and distribution in a timely manner - States are assisted as required, in particular with the provision of information and documentation regarding the Assembly and the Court Objective 3 - States are provided with substantive legal services, especially in the form of documentation, which facilitate and support their work Quality legal advice provided to the Assembly and its subsidiary bodies - Members of the Assembly and relevant bodies are satisfied with the sessions Objective 4 - Website and Assembly, Committee, Bureau and Oversight Committee extranets are used frequently Effective dissemination of documentation and information to States Parties via, inter - Information and documentation can be accessed without delays alia, the internet n/a n/a n/a Budget resources 2,917.8 thousand 652. The requested amount for 2017 has increased by 109.0 thousand (3.9 per cent) in comparison to the 2016 approved budget. The key new costs are: a request for a Special Assistant (P-2) to be located in Dakar (106,000), funding of the post of Senior Administrative Assistant (GS-PL) that was approved in 2016 (81,600), and the travel costs to The Hague of the five members of the Audit Committee (60,600). Furthermore, there is one additional new cost - the travel of the nine members of the Advisory Committee on 62 Such bodies include the Bureau and its Hague and New York Working Groups, the Advisory Committee on Nominations of Judges, the Oversight Committee on Permanent Premises, the Committee on Budget and Finance and the Audit Committee. Although it is based in The Hague, the Secretariat provides substantive services to the Presidency of the Assembly, the Bureau and its New York Working Group, through the preparation of pre-session and post-session documentation. 63 As of 2009 official documents for the Assembly are issued in four official languages only: Arabic, English, French and Spanish. 118 10-E-170816 ICC-ASP/15/10 Nominations of Judges (63,700). This subsidiary body of the Assembly would, in principle, meet on a triennial basis (before the Assembly is to elect six judges). The increases for most of the new resources requested are offset by a reduction in the budget line for contractual services, as a result of lower costs incurred in respect of the annual session of the Assembly, which is to be held at United Nations Headquarters in New York. Staff resources 1,903.0 thousand 653. The Secretariat has ten established posts (five professional staff and five GS staff). Six GTA positions (five professional and one GS) (4.3 FTE) were approved. The Secretariat also has several other shorter-term GTA positions (2.6 FTE) to service the Assembly and its subsidiary bodies. Established posts: Professional and General Service 1,036.3 thousand 654. The Secretariat currently comprises one Director (D-1), one Executive Secretary to the Committee on Budget and Finance (P-5), one Legal Officer (P-4), one Legal Officer (P-3), one Special Assistant to the Director (P-2), one Senior Administrative Assistant (GS-PL), one Meetings and Administrative Assistant (GS-PL), one Documentalist/Archivist (GS-PL) and two Administrative Assistants (GS-OL). With the exception indicated below, all Secretariat staff carry out their functions under the supervision of the Director. Secretariat staff provide both substantive servicing (the Legal Officers) and technical servicing (the conference servicing and administrative staff) to the Assembly and its subsidiary bodies. 655. The Special Assistant to the President of the Assembly reports directly to the President. The Executive Secretary to the Committee on Budget and Finance reports directly to the Chair of the Committee on Budget and Finance. In addition to his duties as Executive Secretary, that staff member continues to perform functions within the Secretariat as a whole, particularly as regards the finance and administration of Major Programme IV. Based on the Committee's recommendation, the Assembly approved the appointment of the Executive Secretary to the Committee as the Secretary to the Audit Committee,64 in addition to his above mentioned duties. General temporary assistance 688.7 thousand 656. The Secretariat currently has six full-time GTA positions and various other shorter-term GTA positions to service the Assembly and its subsidiary bodies. 657. One Associate Legal Officer (P-2), 9 months. Continued. The workload of substantive servicing has increased considerably since the Secretariat was established in 2004. New bodies have been created and the number of meetings of these bodies has increased significantly. Such bodies include the Bureau, and its Hague and New York Working Groups and the Oversight Committee on Permanent Premises. Although it is based in The Hague, the Secretariat provides substantive services to the Presidency of the Assembly, the Bureau and its New York Working Group through the preparation of pre-session and post-session documentation. This position allows the Secretariat to provide better support to the Assembly and its subsidiary bodies. 658. One Web Developer Assistant (GS-OL), 12 months. Continued. The Web Developer Assistant position allows the Secretariat to continue to post documents, papers and publications on the web, to maintain an extranet for the Assembly, the Bureau, the Committee on Budget and Finance and the Oversight Committee, and to ensure timely posting of information regarding, inter alia, elections, complementarity developments and press releases. 659. One Special Assistant to the President (P-2), 12 months. New. This position, which would be based in Dakar where the President resides, supports the President and the Bureau for the period 2015-2017. The staff member provides substantive and technical support to 64 Official Records ... Fourteenth session ... 2015 (ICC-ASP/14/20), vol. I, part III, ICC-ASP/14/Res.1. 10-E-170816 119 ICC-ASP/15/10 the President regarding the preparation of his statements, correspondence and coordination with key stakeholders on Assembly matters.65 660. One Special Assistant (P-2), 12 months. Continued. The Special Assistant assists with the preparation of official communications, coverage of Assembly-related issues at United Nations Headquarters, and continuous engagement with observer States to promote the universality of the Rome Statute. Furthermore, the staff member provides substantive services to the Bureau and the New York Working Group, and to sessions of the Assembly under the direction of the Secretariat of the Assembly. Technical servicing will continue to be undertaken by the Liaison Office. 661. One Special Assistant to the Director (P-1), 12 months. Continued. This position assists the Director of the Secretariat in the preparation of the Assembly session and other logistical activities throughout the year, and organizes meetings of the Director with Court Officials and States Parties. 662. One Legal Officer (P-3), 7 months. Continued. This position will assist the Secretariat on major issues related to budgetary, financial and administrative matters and assist the facilitator on the approved programme budget. 663. One Administrative Officer (P-3), 12 months. Continued. In addition to the previously approved five months, a new request for an additional seven months has been made, where the funding resources will stay at the 2016 approved budget of five months. This position will assist the Executive Secretary to the Committee in preparation for the two sessions of the Committee and in following up with implementation of the recommendations made by the Committee and other related matters, including the preparation for the sessions of the Audit Committee. In addition, this position will provide the opportunity for the Executive Secretary to cover more meetings of the Hague Working Group and to report to the Committee on major issues related to budgetary, financial and administrative matters. 664. One Senior Legal Officer (P-5) and One Legal Officer (P-4), 0.55 months each. Continued. Substantive servicing of the Assembly and its working groups (preparation of pre-session and in-session documentation/papers and draft reports) is provided for a limited number of days by a Senior Legal Officer (P-5) and a Legal Officer (P-4). These additional officers supplement the two Legal Officers in the Secretariat's core staff. 665. Special Assistants, 20.29 months. Continued. The Secretariat will require Special Assistants during the months leading up to and including the annual session of the Assembly. Special Assistants assist the Director with all the logistical aspects of the meetings of the Assembly, including determining space requirements and equipment needs, registration of delegations and NGO representatives, and communicating with delegates. Temporary assistance for meetings 666. 140.0 thousand The amount requested for temporary assistance for meetings remains unchanged. 667. Temporary assistance is required, in particular, for the translation of official documentation of the Assembly and its subsidiary bodies, as well as registration of delegates, issuance of passes, photocopying of documents on a large scale and their distribution, and generally facilitating delegates' attendance at the sessions. Interpretation services for the session of the Advisory Committee on Nominations of Judges are estimated at 24,000. Overtime 38.0 thousand 668. The amount requested for overtime remains unchanged. Overtime is paid to General Service staff hired on a short-term basis who are required to provide the assistance mentioned above and must necessarily work beyond normal working hours, including weekends, during and in relation to the session of the Assembly and the sessions of the Committee. 65 A new President of the Assembly will assume the post in December 2017, as there will be a new Bureau for the period 2018-2020. 120 10-E-170816 ICC-ASP/15/10 Non-staff resources 1,014.8 thousand 669. The amount requested has decreased by 29.8 thousand (2.9 per cent). Non-staff resources comprise travel, hospitality, contractual services, training, general operating expenses, supplies and materials and furniture and equipment. Travel 670. 554.6 thousand The amount requested for travel has increased by 194.6 thousand (54.1 per cent). 671. The travel budget reflects the cost of travel of members of the Committee to their sessions, the trips envisioned for the Committee's Chair to attend sessions with the Hague Working Group and New York Working Group, Court officials, and for few members of the Committee to travel to field offices. This budget item also covers the cost of travel of the Office of the President of the Assembly, including visits to the seat of the Court in The Hague and to New York. In addition, this covers the travel of five members of the Audit Committee to The Hague. The travel budget includes costs which occur on a triennial basis: 70,000 for the travel of the Secretariat staff to service the sixteenth session of the Assembly in New York 66 and 63,700 for the travel of nine members of the Advisory Committee on Nominations of Judges, which would meet during the second semester of 2017 to consider the nominations submitted for the election of six judges. Hospitality 5.0 thousand 672. The amount requested for hospitality remains unchanged. Hospitality is mainly used for the two sessions of the Committee and three sessions of the Audit Committee. Contractual services 401.0 thousand 673. The amount requested for contractual services has decreased by 224.6 thousand (35.9 per cent), due mainly to savings that will be made by holding the Assembly's sixteenth session at United Nations Headquarters in New York. The resources are required to cover the costs related to the sixteenth session of the Assembly and the outsourcing of translation and external printing for the session of the Committee. Training 10.1 thousand 674. The amount requested for training remains practically unchanged. Training is used to keep staff members updated in their specific fields of work. General operating expenses 24.4 thousand 675. The amount requested for general operating expenses remains unchanged. General operating expenses cover expenditure for mailing documents, notes verbales and publications to States Parties, to the members of the Committee on Budget and Finance and occasionally for seminars to promote the universality of the Rome Statute, either using regular post, registered mail or courier services. Supplies and materials 14.7 thousand 676. The amount requested for supplies and materials remains unchanged. Supplies and materials cover the cost of office supplies, including stationery used by the staff of the Secretariat (including paper, toners, pens, memo pads and folders), stationery for the two sessions of the Committee, the three sessions of the Audit Committee, the session of the Advisory Committee on Nominations and the annual session of the Assembly, and for the regular meetings of the Hague Working Group. 66 In recent years, the Assembly has held its annual sessions as follows: two sessions in The Hague and then one session at UNHQ in New York. The latter venue results in a decrease in some budget lines, such as contractual services, but an increase in travel costs. 10-E-170816 121 ICC-ASP/15/10 Furniture and equipment 5.0 thousand 677. The amount requested for furniture and equipment remains unchanged. The Secretariat has managed to increase efficiency through the use of USB flash drives, which are distributed to delegates attending the Assembly session. These contain pre-session official documents in the official languages resulting in savings in the cost of printing, transporting, storing and distributing paper copies of such documents. Increased use of the "paper-light" approach and of the Assembly website and extranets may reduce the need for printed material in the medium-term. Table 36: Major Programme IV: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 570.3 Cont. Fund Total incl.CF 570.3 2016 Approved Budget 651.1 288.5 570.3 529.0 235.6 33.4 798.0 385.6 8.8 1,056.6 570.3 529.0 235.6 33.4 798.0 385.6 8.8 1,056.6 939.6 646.6 140.0 38.0 824.6 360.0 5.0 625.6 9.9 12.1 7.1 8.5 9.8 1,488.5 2,856.8 12.1 7.1 8.5 9.8 1,488.5 2,856.8 24.4 14.7 5.0 1,044.6 2,808.8 -29.8 109.0 -2.9 3.9 24.4 14.7 5.0 1,014.8 2,917.8 -224.6 0.2 -35.9 2.0 42.1 194.6 5.1 54.1 Resource changes Amount 10.4 86.3 96.7 42.1 % 1.6 29.9 10.3 6.5 Proposed 2017 estimates (thousands of euro) 661.5 374.8 1,036.3 688.7 140.0 38.0 866.7 554.6 5.0 401.0 10.1 Programme IV Secretariat of the Assembly of States Parties Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Table 37: Major Programme IV: Proposed staffing for 2017 Total P-staff and above Total GS-OL GS-staff Total staff IV Secretariat of the Assembly of States Parties USG ASG Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total - D-2 D-1 P-5 P-4 P-3 P-2 P-1 GS-PL - 1 1 1 1 1 1 1 1 1 1 - 5 5 3 3 2 2 5 5 10 10 - - 0.05 0.05 0.05 0.05 1.00 1.00 1.75 1.00 2.75 1.00 1.00 3.84 1.00 4.84 - 2.08 2.08 2.08 2.08 5.92 1.00 6.92 122 10-E-170816 ICC-ASP/15/10 Table 38: 4100 Conference Professional staff Sub-programme 4100: Conference 2015 Expenditures (thousands of euro) Total -0.2 Cont. Fund Total incl.CF -0.2 2016 Approved Budget Resource changes Amount % Proposed 2017 estimates (thousands of euro) General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 1,082.1 1,527.7 1,082.1 1,527.7 558.6 1,002.4 -160.9 -241.2 -28.8 -24.1 397.7 761.2 7.0 4.4 7.0 4.4 11.0 10.0 11.0 10.0 1,019.6 1,019.6 537.6 -224.6 -41.8 313.0 -0.2 229.5 192.5 23.8 445.8 51.1 -0.2 229.5 192.5 23.8 445.8 51.1 343.8 80.0 20.0 443.8 -80.3 63.7 -18.1 -80.3 -23.4 263.5 80.0 20.0 363.5 63.7 678. Sub-programme 4100 (Conference) shows conference costs, inter alia, for the Assembly, the Advisory Committee on Nominations, the two sessions of the Committee on Budget and Finance, three sessions of the Audit Committee, except those costs reflected in its Sub-programme 4500, and costs for the regular meetings of the Hague Working Group. Such costs also include temporary assistance for meetings and travel costs. Table 39: Sub-programme 4200: Secretariat of the Assembly 2015 Expenditures (thousands of euro) Total 383.1 Cont. Fund Total incl.CF 383.1 2016 Approved Budget 499.9 288.5 383.1 169.0 383.1 169.0 788.4 129.2 Resource changes Amount 7.6 4.7 12.3 123.8 % 1.5 1.6 1.6 95.8 Proposed 2017 estimates (thousands of euro) 507.5 293.2 800.7 253.0 4200 Secretariat of ASP Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 9.6 178.6 20.8 4.8 9.6 178.6 20.8 4.8 18.0 147.2 15.7 1.0 123.8 70.6 84.1 449.7 18.0 271.0 86.3 1.0 5.2 0.2 3.8 5.4 0.1 4.1 9.8 39.6 601.3 0.1 4.1 9.8 39.6 601.3 4.7 5.0 31.6 967.2 70.8 206.9 224.1 21.4 4.7 5.0 102.4 1,174.1 10-E-170816 123 ICC-ASP/15/10 679. Sub-programme 4200 (Secretariat of the Assembly) reflects the resources for the Secretariat, including those for the Office of the President of the Assembly, costs relating to services and work on behalf of the Assembly's Bureau, the Working Groups of the Bureau (the Hague Working Group and New York Working Group), the Oversight Committee on Permanent Premises, the Advisory Committee on Nominations, the Committee on Budget and Finance and the Audit Committee, except those costs reflected in its Sub-programme 4500. Table 40: Sub-programme 4400: Office of the President of the Assembly 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget Resource changes Amount % Proposed 2017 estimates (thousands of euro) 4400 Office of the President of the Assembly of State Parties Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 108.2 108.2 123.8 -2.8 -2.3 121.0 108.2 101.0 4.0 2.4 108.2 101.0 4.0 2.4 123.8 87.7 -2.8 -1.0 -2.3 -1.1 121.0 86.7 12.0 12.0 107.4 215.6 107.4 215.6 99.7 223.5 -1.0 -3.8 -1.0 -1.7 98.7 219.7 680. Sub-programme 4400 (Office of the President of the Assembly) includes the direct costs relating to the Office of the President of the Assembly, such as the travel costs of the President to The Hague, New York, Europe and within Africa, the post of the Special Assistant to the President and contractual services to cover meetings with diplomats and high officials. 124 10-E-170816 ICC-ASP/15/10 Table 41: Sub-programme 4500: Committee on Budget and Finance 2015 Expenditures (thousands of euro) Total 187.4 Cont. Fund Total incl.CF 187.4 2016 Approved Budget 151.2 Resource changes Amount 2.8 81.6 187.4 22.3 43.1 187.4 22.3 43.1 151.2 49.8 60.0 84.4 1.4 55.8 2.8 % 1.9 Proposed 2017 estimates (thousands of euro) 154.0 81.6 235.6 51.2 60.0 4500 Committee on Budget and Finance Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 65.4 212.7 65.4 212.7 109.8 256.6 4.0 1.4 61.3 1.3 23.9 111.2 317.9 4.0 76.0 4.7 34.6 34.6 76.0 4.7 12.1 12.1 13.4 13.4 259.4 512.2 259.4 512.2 354.7 615.7 61.3 147.1 17.3 23.9 416.0 762.8 681. Sub-programme 4500 (Committee on Budget and Finance) includes the direct costs relating to the Committee on Budget and Finance and the Audit Committee, such as interpretation costs, reflected under temporary assistance for meetings; translation costs, reflected under contractual services; travel costs of the members of the Committee and the members of the Audit Committee; and the post of the Executive Secretary to the Committee; the post of the Senior Administrative Assistant and 12 months GTA of the Administration Officer; hospitality for the sessions of the Committee and the sessions of the Audit Committee; training, and external printing of the Committee's recommendations. However, other related costs, such as temporary staff hired to assist during the sessions, are reflected under Sub-programmes 4100 and 4200. 10-E-170816 125 ICC-ASP/15/10 E. Major Programme V: Premises Introduction 682. In 2016, this programme had an approved budget of 2,824.6 thousand. It consisted of 1,017.0 thousand for preventative maintenance at the new premises and 1,807.6 for residual rental costs at the interim premises. The court will not have any financial obligation for its former interim premises in 2017. 683. In 2017, the guarantee period for buildings and installations at the Court's premises will have ended. So, the Court proposes to add the cost of corrective maintenance in 2017. 684. There is no proposal for capital investment or replacement during 2017, unless otherwise recommended by the oversight committee of permanent premises. Budget resources 1,454.9 thousand 685. The requested amount has decreased by 1,369.7 thousand (48.5 per cent) due to the expiration of the rental contracts for the interim premises. General Operating Expenses 1,454.9 thousand 686. The above amount is needed to cover the estimated costs of corrective and preventative maintenance at the premises of the Court in 2017. The proposed cost is based on an estimate provided to the Court by the Project Director's Office for Permanent Premises (PDO) in 2015 and represents an increase in maintenance costs of 437.9 thousand (43 percent) compared to the approved maintenance costs in 2016. Table 42: Major Programme V: Proposed budget for 2016 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget Resource changes Amount % Proposed 2017 estimates (thousands of euro) 5100 Premises Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 5,394.2 5,394.2 2,824.6 -1,369.7 -48.5 1,454.9 5,394.2 5,394.2 5,394.2 5,394.2 2,824.6 2,824.6 -1,369.7 -1,369.7 -48.5 -48.5 1,454.9 1,454.9 126 10-E-170816 ICC-ASP/15/10 F. Major Programme VI: Secretariat of the Trust Fund for Victims Introduction 687. The Trust Fund for Victims (TFV) at the International Criminal Court supports activities which address the harm resulting from crimes under the jurisdiction of the Court by assisting victims to return to a dignified and contributory life within their communities. The TFV fulfils two mandates: (1) administering reparations ordered by the Court against a convicted person,67 and (2) using other resources for the benefit of victims in accordance with the provisions of article 79 of the Rome Statute.68 Both mandates provide support to victims of genocide, crimes against humanity and war crimes committed since 1 July 2002.69 688. The present budget submission follows on from and is a corrigendum to the draft budget submitted in May 2015, taking into account the decision of the TFV Board of Directors on the structure of the TFV Secretariat (August 2015), in consideration of the outcomes of the ReVision of the TFV which was carried out on request of the TFV Board of Directors, as completed in July 2015. Strategic Goals 689. While the strategies of the Court and the TFV are related, the TFV's strategic goals are specific to its dual mandate of delivering assistance and reparations to victims under the jurisdiction of the Court and within a particular governance framework, in which the Board of Directors is directly accountable to the States Parties for the activities of the TFV.70 Furthermore, the TFV's victim assistance projects are not financed out of assessed contributions, but primarily through voluntary contributions and private donations, and in the case of reparations, by such awards, fines and forfeitures as may be ordered by the Court and/or by way of complementing payments for awards with "other resources of the Trust Fund", if so decided by the Board of Directors.71 690. The TFV's strategic goals are defined in the Strategic Plan for 2014-2017, as adopted by the Board of Directors in August 2014. The strategic goals of the TFV highlight the importance that the TFV Board attaches to programme and management performance, visibility and recognition, effective and efficient organizational development and financial sustainability in order to ensure that the TFV matures as envisaged by the States Parties. 691. The TFV's mission is to respond to the harm resulting from the crimes under the jurisdiction of the ICC by ensuring the rights of victims and their families through the provision of reparations and assistance. 692. The TFV's results framework has been incorporated into a Performance Monitoring Plan (PMP), annexed to the Strategic Plan 2014-2017. The PMP was reviewed and approved by the TFV Board of Directors in April 2016 and will guide organizational and programme planning through to the end of 2017. Besides vision, mission, strategic goals and programming principles, the TFV results framework articulates intermediate results (outcomes) which support the strategic goals and in turn are based on results achieved in individual projects and organizational performance results (outputs). The TFV results framework is depicted in the overview below. The TFV PMP includes performance indicators for all results, as well as monitoring and evaluation roles within the TFV and data quality assessment (DQA) procedures. The complete TFV PMP document is submitted separately. 67 68 Rule 98(2), (3) and (4) of the Rules of Procedure and Evidence. Rule 98(5) of the Rules of Procedure and Evidence. For more information on the TFV's legal basis, see http://trustfundforvictims.org/legal-basis. 69 As defined in articles 6, 7 and 8 of the Rome Statute. 70 Regulations of the Trust Fund for Victims (RTFV), ICC-ASP/4/Res 3; Regulation 76. 71 RTFV 56. 10-E-170816 127 ICC-ASP/15/10 693. At the fourteenth Annual Meeting of the TFV Board of Directors (18-21 April 2016), the Board decided to maintain the assistance mandate activities in northern Uganda and the Democratic Republic of the Congo (DRC) and undertook to expand the assistance mandate activities into other situation countries, security and resources permitting, including the Central African Republic, Cote d'Ivoire and Kenya. With regard to reparations, the TFV Board took note of developments in the cases of Lubanga and Katanga, both of which are likely to be in full implementation phase in eastern DRC in 2017. 694. The TFV further notes that the Board of Directors has maintained its earlier decision to outsource activities related to the conduct of situational assessments under the assistance mandate, capacity building of TFV implementing partners and the design and implementation of a management information system (MIS), which will be funded from resources originating from voluntary contributions (a total of 1,050.0 thousand), therefore from outside the Major Programme VI budget. 695. The Board considers that the improvement in fundraising and the related institutional visibility is of utmost priority to the Trust Fund, which requires a solid and long-term capacity in the Secretariat to achieve meaningful results. 696. In August 2015, the Board of Directors decided on the redesign of the Secretariat, to be implemented in 2016. In this decision, the Board took into account the findings and recommendations of the report on the ReVision of the TFV (July 2015) on the restructuring of the TFV Secretariat, and the observations of the Secretariat. Moreover, the experience 128 10-E-170816 ICC-ASP/15/10 and insight evolving from the development of the TFV's first draft implementation plan for reparations in Lubanga, which the Board assessed during an extraordinary meeting in The Hague in July 2015, fortified the Board in its conviction that the follow-through on this plan would require strengthening of the Secretariat in two critical areas: financial-administrative capacity in The Hague and on-site programme management. The new structure aims to strengthen both the TFV's field-based programme management capacity and the TFV-based capacity for financial and administrative control, fundraising and advocacy - both in The Hague and in the field offices. The new Secretariat structure allows for more flexibility in responding to events and strategic challenges, and streamlines internal roles, responsibilities and authorities. 697. The new structure for the TFV was captured in a corrigendum for the proposed 2016 budget, submitted to the Committee via the Registry in September 2016. The Committee recommendations to the Assembly on the budget corrigendum contained only a partial endorsement of the new structure. As a result, the TFV structure remains in flux during 2016. 698. The proposed budget for 2017 is in fact a resubmission of the 2016 budget corrigendum, with some adaptations resulting from the ongoing classification process, and is informed by the evolving reparations practice. Budget resources 2,502.1 thousand 699. The requested amount has increased by 617.6 thousand (32.8 per cent) compared to the approved 2016 budget (and by 78.5 thousand (3.2 per cent) compared to the 2016 proposed budget corrigendum). Due to the anticipated outcome of the classification of the new structure of the TFV Secretariat, the resulting budgetary implications in terms of staff costs can only be rendered as overall estimates at the time of writing, pending the availability of detailed information on staffing costs in 2017. According to these estimates, staff costs will increase by 4.6 per cent compared with the 2016 budget corrigendum, and by 34.8 per cent compared with the approved budget for 2016. Staff resources 1,770.9 thousand 700. As the new TFV structure results from the ReVision process and is meant to constitute the minimum critical mass of the TFV's capacity to deliver on its mandates, all posts, with the exception of a number of proposed short term appointments (STAs), are proposed as established posts. 701. There are 19 established posts. 1,770.9 thousand Established posts: Professional and General Service 702. The TFV is managed by one Executive Director (D-1). 703. One Associate Executive Officer (P-2) is responsible for ensuring the smooth functioning of the executive office, which includes the provision of support to the Trust Fund's Board of Directors, as well as to the Legal Adviser / functional Deputy, the Finance Officer and the Fundraising and Visibility Officer. The AEO has a particular role and responsibilities with respect to external relations, communications, advocacy and fundraising, including relationship management with high level TFV stakeholders and the development and implementation of communications through the TFV website, social media and other outlets, as well as the organization of events serving to improve the TFV's visibility in the public domain and support the increased mobilization of voluntary contributions and private donations. 704. One Legal Adviser (P-4) provides the Fund's Board and Secretariat with expert legal advice regarding the development and implementation of the Fund's assistance and reparations mandates. This includes, but is not limited to, the preparation of legal filings with the Court, external representation of the Fund, and advice on the legal dimension of implementing Court-ordered reparations awards. This post has been revised to accommodate (i) greater integration of tasks and responsibilities of the Legal Adviser with the TFV's programmatic work; (ii) a more substantive role for the Legal Adviser in the engagement and management of service providers, including TFV implementing partners, 10-E-170816 129 ICC-ASP/15/10 contractors and consultants, as well as donor agreements with both public and private donors; and (iii) the assumption of the role of functional deputy to the Executive Director, resulting from the abolishment of the P-5 Senior Programme Officer (SPO) post. 705. Three Programme Managers (P-4) are based in the Kampala (Uganda), Bunia (DRC) and Abidjan (Côte d'Ivoire) Field Offices. These posts are classified to reflect the greater responsibilities for the design and management oversight of the TFV programmes under both mandates, due to the abolishment of the SPO post and the devolution of programme-related decision making to the programme managers, who will be directly accountable to the Executive Director. Situational programme management is strengthened to ensure on-site quality control (monitoring of results, adhesion by partners to TFV assistance mandate, programmatic cohesion amongst implementing partners (approaches, results), monitoring of financial and administrative practices and responsiveness to risks as identified in the TFV Risk Management Framework: situational (e.g., security, partner selection) and context (partner performance, community response to projects and reparations awards, outreach and TFV reputation management with local stakeholders), and preparing for reparations programmes. Strengthening of situational programme management allows locally-based TFV programme management staff to act decisively and in an informed manner in the oversight of TFV programme implementation; and to be held accountable to the TFV leadership for the quality of service delivery on behalf of the TFV, including project management and the monitoring and achievement of project results and programmatic outcomes. 706. One Fundraising and Visibility Officer (P-3). Awareness raising and fundraising go hand in hand to create a stronger political and financial foundation for realizing the TFV's mandates, mission and goals. The strategic diversification of the TFV's revenue base, to include private donors next to a growing number of States Party donors, needs to build on the availability of in-house expertise. Both awareness raising and resource development are interrelated core functions of the TFV and require dedicated capacity in external relations management. The recruitment process for this post has been aligned with the restructuring of the TFV. 707. One Financial Officer (P-3) will provide strengthened financial oversight, reporting, control and compliance within the TFV and in relation to implementing partners, including the management and further development of the TFV's SAP Grants Management system. 708. One Programme Monitoring and Evaluation (PME) Officer (P-3) will report to the Senior Programme Officer. The PME Officer will play a central role in programme coordination, reporting to the Executive Director, or the Legal Adviser/functional Deputy as per delegation, supervising all of the programme monitoring, evaluation and reporting and coordinating the technical and administrative support and processes to the TFV programmes. 709. One Associate Programme Officer (P-2), to be based in The Hague. The Associate Programme Officer reports to the Programme Monitoring and Evaluation Officer, with a responsibility to support the development, oversight and results reporting of TFV programmes under the reparations and assistance mandates in the situation country. The Associate Programme Officer will have direct working relationships with the Programme Managers and the Associate Field Programme Officers based in field offices, as well as with the Associate Executive Officer in The Hague. The Associate Programme Officer will have a functional reporting line to the Finance Officer in matters related to programme administration. The Associate Programme Officer will oversee administrative support functions at the TFV Secretariat. The post supports the development of programmatic frameworks - assessments (assistance mandate) and draft implementation plans (reparations mandate) - for the TFV to respond to the harm suffered by victims of crimes under the Court's jurisdiction. Relevant outputs include preparatory research and the engagement of experts as required. The post further facilitates the efficiency, effectiveness and transparency of the TFV'S programmatic interventions, comprehensive, timely and correct reporting on programme results, as well as adequate reporting on these results to external stakeholders. 710. Six Associate Field Programme Officers (APOs) (P-2) are based in Bunia, DRC (2), Kampala, Abidjan, Bangui and Nairobi. The Associate Field Programme Officer at the TFV 130 10-E-170816 ICC-ASP/15/10 Secretariat is a field-based post, reporting to the Programme Manager, with a responsibility to support the development and oversight of TFV programmes under the reparations and assistance mandates in the situation country. The objectives of these posts are as follows: Daily operations and oversight with regard to projects within the TFV's programmes under both the reparations and assistance mandates are supported to be effective, efficient, and responsive to victims' rights and needs and to situational developments. TFV implementing partners operate in accordance with their functions and service contracts, respectively, and in line with the TFV's Performance Measurement Plan (PMP), including reporting on appropriate monitoring and evaluation activities and on financial control. Underperformance of implementing partners is detected in a timely manner. The selection of implementing partners for TFV programmes is supported by participating in the execution of a transparent procurement procedure. Situational stakeholders understand, recognize and value the reparations and assistance programmes of the TFV within the framework of the Rome Statute, as well as within the situational context. 711. One Programme Assistant (GS-OL) and two Administrative Assistants (GS-OL) in The Hague. Non-staff resources 731.2 thousand 712. The requested amount has increased by 160.7 thousand (28.2 per cent). Non-staff resources are required for travel, hospitality, contractual services, training, consultants, general operating expenses, supplies and materials and furniture and equipment. Travel 320.3 thousand 713. The requested amount has increased by 106.9 thousand (50.1 per cent) and will be required mainly in relation to the Trust Fund's programme activities (assistance and reparations mandates), visibility/fundraising and Board related-initiatives. The increase is largely due to activities related to the Trust Fund's reparations mandate. 714. The requested amount will cover meetings and field trips of the TFV Board of Directors, meetings with donors and other external TFV stakeholders (Board members, Executive Director, other staff as needed), visibility and fundraising, design and implementation of reparations programmes, programme monitoring visits and engagement with implementing partners, authorities and other programme-related stakeholders and the TFV annual staff meeting. Hospitality 3.0 thousand 715. The requested amount has increased by 0.5 thousand (2.0 per cent) and is required for engagement with third parties in the context of the Fund's external relations management. Contractual services 220.0 thousand 716. The requested amount has increased by 65.0 thousand (41.9 per cent). Contractual services will be needed for external printing in the field and at Headquarters (40.0 thousand), SAP GM support, including business support services (45.0 thousand), development of fundraising events and materials (75.0 thousand), car rentals (40.0 thousand), the External Auditor's fee (5.0 thousand), TFV Board meeting costs (35.0 thousand), and external translation English-French (20.0 thousand). Training 34.9 thousand 717. The requested amount has increased by 13.3 thousand (61.6 per cent) to cater for the training needs of existing and newly contracted staff in The Hague and in the field offices within the new TFV Secretariat structure. Consultants 120.0 thousand 718. The requested amount has decreased by 25.0 thousand (17.2 per cent). The consultants are required to assist in programme report/proposal writing (30.0 thousand), 10-E-170816 131 ICC-ASP/15/10 communication and external relations of the TFV (45.0 thousand), and provide expert advice on reparations (45.0 thousand). General operating expenses 20.0 thousand 719. The requested amount remains unchanged and is requested for rental facilities for meetings and workshops in Uganda, DRC, CAR, Kenya and CIV and communication materials and mailing costs. Supplies and materials 3.0 thousand 720. The requested amount remains unchanged and is required for basic office supplies and other expendable office materials. Furniture and equipment 10.0 thousand 721. The requested amount remains unchanged and is required to cover the purchase of equipment and furniture needs in the field offices in UGA, DRC, CAR, Kenya and CIV. Table 43: Major Programme VI: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 879.2 879.2 185.1 Cont. Fund Total incl.CF 879.2 879.2 185.1 2016 Approved Budget 773.0 195.1 968.1 345.9 802.8 -345.9 82.9 -100.0 Resource changes Amount 802.8 % 103.9 Proposed 2017 estimates (thousands of euro) 1,575.8 195.1 1,770.9 6100 Secretariat of the Trust Fund for Victims Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 185.1 227.4 2.6 189.0 13.1 45.1 1.5 478.7 1,543.0 185.1 227.4 2.6 189.0 13.1 45.1 1.5 478.7 1,543.0 345.9 213.4 2.5 155.0 21.6 145.0 20.0 3.0 10.0 570.5 1,884.5 -345.9 106.9 0.5 65.0 13.3 -25.0 -100.0 50.1 20.0 41.9 61.6 -17.2 320.3 3.0 220.0 34.9 120.0 20.0 3.0 10.0 160.7 617.6 28.2 32.8 731.2 2,502.1 Table 44: Major Programme VI: Proposed staffing for 2017 Total P-staff and above 3 13 16 Total GS-staff 2 1 3 Total staff 5 14 19 6100 Secretariat of the Trust Fund for Victims Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 1 1 P-5 - P-4 1 3 4 P-3 1 2 3 P-2 8 8 P-1 - GS-PL - GS-OL 2 1 3 - - - - - - 1.5 1.5 - - - 1.5 1.5 - - 6 6 - 6 6 - 7.5 7.5 - 132 10-E-170816 ICC-ASP/15/10 G. Major Programme VII-2: Host State Loan Introduction 722. In 2008, the Assembly accepted the host State's offer of a loan for the Permanent Premises Project of up to a maximum of 200 million, to be repaid over a period of 30 years at an interest rate of 2.5 per cent.72 723. In response to requests from the Committee and the Assembly, 73 in its approved budget for 2011 the Court established Major Programme VII-2 to report on the interest expected to be paid on the loan amounts received by the Court for the Permanent Premises Project. 724. The financial implications of Major Programme VII-2 are applicable only to those States Parties that did not opt for a one-time payment or did not fully complete their one-time payments.74 725. The loan agreement signed between the host State and the Court stipulates that the interest due from the Court to the host State over the preceding calendar year and/or any repayment to be attributed to previous calendar years, is to be paid by the Court on the due date (namely on or before 1 February of each calendar year).75 726. To minimize the interest paid by those States Parties which did not opt for a one-time payment, the loan has been drawn down on a monthly basis. Careful estimation of the cash flow needs has also minimized the number of days on which interest is accrued. 727. A further reduction in accrued interest was obtained by extending the possibility for States Parties to opt for a one-time payment throughout the construction period until the end of 2014, and payment by 15 June 2015, later extended to 29 June 2016. 728. The impact over the coming years is shown in greater detail below. Table 45: Interest and loan repayment impact over the next years (in euros)(*) 2015 2016 2017(*) 2018(*) 2019(*) 1. Interest only Interest payment 2. Loan repayment Capital and interest Total payments (*) (**) (***) 1,060,596, 2,185,717 1,191,050(**) - - 1,060,596 2,185,717 1,796,256(***) 2,987,306 3,592,512(***) 3,592,512 3,592,512(***) 3,592,512 Estimated figures - subject to change. Interest accrued from 1 January to 30 June 2016 based on the loan expiry date of 30 June 2016. Repayment of loan starting on 1 July 2016. Half year repayment corresponding to the period from 1 July to 31 December 2016, and full year repayment thereafter. 729. To fulfil its legal obligations vis-à-vis the host State, the Court is due to pay the interest following access to the loan. The interest accrued in the first half of 2016 will be payable on or before 1 February 2017. 730. Repayment of the loan will start after surrender of the interim premises leases on 30 June 2016. Repayment of capital and interest for the period 1 July to 31 December 2016 will be payable on or before 1 February 2017. 72 Official Records ... Seventh session ... 2008 (ICC-ASP/7/20), vol. I, part III, ICC-ASP/7/Res.1, para 2 and Annex II. 73 Official Records ... Ninth session ...2010 (ICC/ASP/9/20), vol. II, part A, section G. 74 Official Records ... Seventh session ... 2008 (ICC-ASP/7/20), vol. I, part III, ICC-ASP/7/Res.1, Annex III. 75 Loan agreements between State of the Netherlands (Ministry of Foreign Affairs) and International Criminal Court, dated 23 March 2009, para. 6.1. 10-E-170816 133 ICC-ASP/15/10 731. A note verbale was sent in December 2015 to each State Party having opted for the loan, or with an outstanding one-time payment, indicating its estimated contribution to the interest accrued in the first half 2016, and the estimated amount for the repayment of capital and interest for the second half of 2016, with a payment date of 25 January 2017. Table 46: Programme 7200: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget Resource changes Amount % Proposed 2017 estimates (thousands of euro) 7200 Host State Loan Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Short-term assistance Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 1,060.6 1,060.6 2,200.5 786.8 35.8 2,987.3 1,060.6 1,060.6 1,060.6 1,060.6 2,200.5 2,200.5 786.8 786.8 35.8 35.8 2,987.3 2,987.3 134 10-E-170816 ICC-ASP/15/10 H. Major Programme VII-5: Independent Oversight Mechanism Introduction 732. Major Programme VII-5, the Independent Oversight Mechanism (IOM), was established by the Assembly at its eighth76 session in accordance with article 112(4) of the Rome Statute, to provide independent, effective and meaningful oversight of the Court. At its twelfth session, the Assembly approved the IOM's mandate of inspections, evaluations and investigations in its resolution ICC-ASP/12/Res.6.77 The IOM undertakes evaluation and inspection work at the direct request of the Assembly or of the Heads of Organ of the Court, and conducts investigations at its own discretion into received reports of misconduct or breaches of the Court's rules and regulations, including the Rules of Procedure and Evidence. Internal performance indicators have been set based on response times and activity completion rates and are reported on in the IOM's annual report to the Assembly. Budget resources 554.8 thousand 733. The requested amount has increased by 239.7 thousand (76.1 per cent) due to an increase in staff and non-staff resources commensurate with the office being fully operational in 2017. Staff resources 486.7 thousand 734. The requested amount has increased by 225.8 thousand (86.5 per cent) as the IOM expects to be fully staffed during 2017. At its twelfth session, the Assembly approved the IOM's permanent staffing complement of three professional posts and one general service post.78 No changes to the staffing complement approved by the Assembly are proposed. Established posts: Professional and General Service 486.7 thousand 735. The IOM comprises the Head of the IOM (P-5), one Senior Evaluations Specialist (P-4), one Associate Investigator (P-2) and one Administrative Assistant (GS-OL). The permanent Head of the IOM was recruited in the fourth quarter of 2015 and it is anticipated that the remaining posts will be recruited and in place by the fourth quarter of 2016. Non-staff resources 68.1 thousand 736. The requested amount has increased by 13.9 thousand (25.6 per cent). Increases are requested in travel, contractual services and training to reflect the fact that the office is expected to be fully staffed and operational throughout 2017. Decreases are planned in general operating expenses and furniture and equipment costs. Travel 10.0 thousand 737. The requested amount has increased by 2.3 thousand (29.9 per cent). The requested funds assume just two field missions for one staff member in direct support of oversight activities, plus one support mission. Training 11.1 thousand 738. The requested amount has increased by 4.6 thousand (70.8 per cent) and is required for the office's four staff members to participate in training to upgrade their substantive skills, to ensure that they are conversant with international best practice in their areas of expertise, and to assist in maintaining their relevant professional qualifications. The requested amount is based upon taking full advantage of professional fee discounts, discounted or gratis training fora within the international community, and locally sourced training opportunities. 76 77 Official Records... Eighth session... 2009 (ICC-ASP/8/20), vol. I, part III, ICC-ASP/8/Res.1. Official Records... Twelfth session... 2014 (ICC-ASP/12/20), vol. I, part III, ICC-ASP/12/Res.6. 78 Ibid., (ICC-ASP/12/Res. 1). 10-E-170816 135 ICC-ASP/15/10 Contractual Services 40.0 thousand 739. Now that the IOM is fully operational, resources are required to engage expertise to undertake or to support specific investigation or evaluation activities requiring the use of external resources. The IOM has been established at a relatively low staffing level given its wide portfolio of oversight responsibilities. Consultant resources are therefore required to provide support in cases where specific and additional expert skill sets are required, and to provide local assistance if required at field office locations. The judicious and strategic use of appropriate external assistance will enable the IOM to remain flexible, to minimize travel costs, and to maintain its highly efficient and cost-effective established staff base. General operating expenses 2.0 thousand 740. The requested amount has decreased by 8.0 thousand (80 per cent) and is required to purchase supplies and materials to support office activities. The efficient use of already available Court facilities has allowed a significant cut in expected expenditure. Furniture and Equipment 5.0 thousand 741. The requested amount has decreased by 5.0 thousand (50 per cent) after initial office set-up costs have been incurred and economies have been made. Table 47: Major Programme VII-5: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 75.2 75.2 Cont. Fund Total incl.CF 75.2 75.2 2016 Approved Budget 195.9 65.0 260.9 Resource changes Amount 218.5 7.3 225.8 % 111.5 11.2 86.5 Proposed 2017 estimates (thousands of euro) 414.4 72.3 486.7 7500 Independent Oversight Mechanisms Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 7.7 20.0 6.5 10.0 10.0 54.2 75.2 75.2 315.1 2.3 -20.0 4.6 40.0 -8.0 -5.0 13.9 239.7 29.9 -100.0 70.8 -80.0 -50.0 25.6 76.1 10.0 11.1 40.0 2.0 5.0 68.1 554.8 Table 48: Major Programme VII-5: Proposed staffing for 2017 Total P-staff and above 3 3 Total GS-OL GS-staff 1 1 1 1 Total staff 4 4 - 7500 Independent Oversight Mechanism Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 1 1 - P-3 - P-2 1 1 - P-1 - GS-PL - 136 10-E-170816 ICC-ASP/15/10 I. Major Programme VII-6: Office of Internal Audit Introduction 742. The Office of Internal Audit (OIA) assists the Court in the achievement of its strategic and operational objectives by systematically reviewing systems and operations across all areas of the Court. These reviews (audits) are aimed at identifying how well potential threats and opportunities (risks) are managed, including whether the correct processes are in place and whether agreed procedures are being adhered to. The Office also provides advisory services at the request of the management of the Court. The Office reports to the Chair of the Audit Committee. Table 49: Expected results, performance indicators and targets 2017 Performance indicators Target 2017 Expected results Objective 1 Contribute to the achievement of Court's strategic and operational objectives by providing assurance to management on the effectiveness and efficiency of governance, internal control frameworks and risk management through audit/advisory works Number of audits performed against the validated audit work plan 6 audits as a minimum Budget resources 694.2 thousand 743. The requested amount has increased by 12.4 thousand (1.8 per cent) due to an increase in staff and non-staff resources commensurate with the office being fully operational in 2017. Staff resources 659.3 thousand 744. The OIA currently consists of a total of four established posts and one GTA position (1.0 FTE). The Office is not requesting additional established posts but requires that the current GTA position be continued. Established posts: Professional and General Service 745. The OIA comprises the following basic resources: 536.5 thousand 746. One Director (D-1) who is responsible for the administrative management of the Office, the definition of a risk-based audit plan and the supervision of the audit work of auditors. The Director provides assurance to the three Heads of Organ on the effectiveness and efficiency of governance, risk management and internal controls. 747. One Senior Auditor (P-4) and one Auditor (P-3) who perform audits, provide advisory services and perform additional tasks at the request of the Director. 748. One Audit Assistant (G-6) who contributes to audit performance and provides administrative support to the Office (two-thirds of working time is dedicated to audit assistance). General temporary assistance 122.8 thousand 749. One ICT Auditor, 12 months. Continued. The Office currently has one ICT Auditor (P-3) who is an expert in ICT and auditing. The incumbent contributes to the definition of the audit plan for ICT activities; performs ICT audits and provides support to colleagues in their audit work on any ICT-related issue. The ICT Auditor also follows up on the implementation of ICT audit recommendations. 10-E-170816 137 ICC-ASP/15/10 750. Information and Communication Technologies, including Information Security, are increasingly part of the operations of the Court and the risks associated with them have to be covered through the audit work plan. None of the auditors in established posts has competence in ICT auditing, which is a specialist area. They are unable to effectively follow up on the implementation of ICT audit recommendations on account of lack of technical knowledge in this field. Non-staff resources 34.9 thousand 751. The requested amount has increased by 1.6 thousand (4.8 per cent), and is required for travel and training. Travel 11.5 thousand 752. The requested amount has decreased by 0.3 thousand (2.5 per cent) and is required to enable the Office to perform audits in Field Offices according to its work plan. Training 23.4 thousand 753. The requested amount has increased by 1.9 thousand (8.8 per cent) to reflect the need for additional resources to train the new ICT Auditor. 754. It is a mandatory requirement for auditors to be regularly trained (Cf. Institute of Internal Audit Standards). All five auditors of the Office of Internal Audit are certified, in accordance with a recommendation from the External Auditors (2011). The Institute of Internal Auditors, which issues audit certifications, requires that certified auditors attend 40 hours (CPE) of training each year to keep their certifications active. Training courses must be specifically related to the work of auditors and to their competences and experience. 755. The cost of a course that provides 25 hours of CPE is around 3.0 thousand, to which travel and DSA has to be added (on average 1.4 thousand). 756. The Office has contemplated all the options available to meet this requirement of 40 hours of CPE. The Court's in-house training courses, giving presentations at conferences, on-line training and attending training courses only in the Netherlands were considered. There are however limitations to these solutions, for example, the Office's staff, with the exception of one person, do not speak Dutch and courses offered in English in the Netherlands cover a limited range of topics that do not address the needs of experienced auditors. The Office is currently reviewing the option of using MOOC (massive open on-line course) training courses. 138 10-E-170816 ICC-ASP/15/10 Table 50: Major Programme VII-6: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 513.4 Cont. Fund Total incl.CF 513.4 2016 Approved Budget 456.7 72.2 513.4 68.5 513.4 68.5 528.9 119.6 Resource changes Amount 7.5 0.1 7.6 3.2 % 1.6 0.1 1.4 2.7 Proposed 2017 estimates (thousands of euro) 464.2 72.3 536.5 122.8 7600 Office of Internal Audit Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 68.5 2.9 68.5 2.9 119.6 11.8 3.2 -0.3 2.7 -2.5 122.8 11.5 29.8 29.8 21.5 1.9 8.8 23.4 32.7 614.6 32.7 614.6 33.3 681.8 1.6 12.4 4.8 1.8 34.9 694.2 Table 51: Major Programme VII-6: Proposed Staffing for 2017 Total P-staff and above Total GS-staff Total staff 7600 Office of Internal Audit Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 GS-PL GS-OL - - - 1 1 - 1 1 1 1 - - 3 3 - 1 1 1 1 4 4 - - - - - - 1.00 1.00 - - 1.00 1.00 - - - 1.00 1.00 10-E-170816 139 ICC-ASP/15/10 IV. Major Programme III: Registry 1. (a) Programme 3100 : Office of the Registrar Sub-programme 3110: Immediate Office of the Registrar 757. Immediate Office of the Registrar (IOR) directly supports the Registrar in providing strategic leadership, coordination and guidance to all Registry Divisions, Sections and Offices as well as in the management and supervision of the Registry, especially in the performance of executive functions. IOR facilitates the flow of information to and from the Registry Divisions and ensures proper high-level coordination with the other organs of the Court as well as with external stakeholders. Budget resources 826.3.4 thousand 758. The requested resources have increased by 128.6 thousand, or 18.4 per cent. Taking into account an increase in staff costs which is fully accounted for by the staggered implementation of the Registry's structure, the operational costs for IOR have increased by 15.3 thousand. This is fully accounted for by the need to travel to New York to attend the sixteenth session of the Assembly of States Parties. Table 52: Sub-programme 3110: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 871.6 871.6 618.0 Cont. Fund Total incl.CF 871.6 871.6 618.0 2016 Approved Budget 579.9 79.2 659.1 Resource changes Amount 117.5 0.6 118.1 % 20.3 0.8 17.9 Proposed 2017 estimates (thousands of euro) 697.4 79.8 777.2 3110 Immediate Office of the Registrar Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 618.0 62.9 5.9 2.1 121.6 618.0 62.9 5.9 2.1 121.6 34.6 4.0 15.3 44.2 49.9 4.0 192.5 1,682.1 192.5 1,682.1 38.6 697.7 15.3 133.4 39.6 19.1 53.9 831.1 Table 53: Sub-programme 3110: Proposed staffing for 2017 Total P-staff P-1 and above 5 5 Total GS-staff 1 1 Total staff 6 6 - 3110 Immediate Office of the Registrar Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG 1 1 - D-2 - D-1 - P-5 1 1 - P-4 1 1 - P-3 2 2 - P-2 - GS-PL 1 1 - GS-OL - 140 10-E-170816 ICC-ASP/15/10 (b) Sub-programme 3130: Legal Office 759. The Legal Office (LO) supports the performance of the legal functions of the Registrar under the legal texts of the Court and other legal instruments governing the Court. This concerns both the judicial functioning of the ICC, where the Registry is involved, and legal matters affecting the ICC as an international organization and its legal position as a whole. In performing this dual role, the Section is responsible for ensuring the quality, uniformity and consistency of legal positions across the Registry and its Divisions of Judicial Services, External Relations and Field Coordination, and Management Services - including the coordination of an internal legal network. The Legal Office is headed by the Legal Counsel who, together with the Registrar and the three Division Directors, forms the Registry Management Team. Budget resources 301.3 thousand 760. The total resource increase in the Legal Office amounts to 301.3 thousand and is mostly the result of an increase in staff costs of 278.6 thousand, and a minor increase in travel of 22.7 thousand. The number of established posts remains the same as in 2016. There is one new Legal Officer (P-3) GTA position required for 2017, necessary to ensure the quality and consistency of the Registry's legal position vis-à-vis judicial matters. Table 54: 3130 Legal Office Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 27.2 740.1 27.2 740.1 17.5 701.9 22.7 301.3 129.7 42.9 40.2 1,003.2 12.9 1.1 2.4 -0.6 12.9 1.1 2.4 -0.6 5.0 6.4 5.0 -5.0 -100.0 6.4 5.0 60.6 11.4 60.6 11.4 6.1 122.8 22.7 372.1 122.8 28.8 652.3 60.6 652.3 60.6 Sub-programme 3130: Proposed budget for 2017 2015 Expenditure (thousands of euro) Total 652.3 Cont. Fund Total incl.CF 652.3 2016 Approved Budget 619.4 65.0 684.4 Resource changes Amount 157.2 -1.4 155.8 122.8 % 25.4 -2.2 22.8 Proposed 2017 estimates (thousands of euro) 776.6 63.6 840.2 122.8 Table 55: 3130 Legal Office Sub-programme 3130: Proposed staffing for 2017 Total P-staff P-1 and above 7 7 1.00 1.00 Total GS-staff 1 1 1.00 Total staff 8 8 1.00 - USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 1 1 - P-3 3 3 1.00 1.00 P-2 2 2 - GS-PL - GS-OL 1 1 - Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 10-E-170816 141 ICC-ASP/15/10 2. (a) Programme 3200: Division of Management Services (DMS) Sub-programme 3210: Office of the Director, Division of Management Services 761. The Office of the Director of the Division of Management Services (OD-DMS) is responsible for the overall direction, strategic planning, and delivery of all administrative and managerial support to the Registry and the Court. The Director is also responsible for a number of critical executive functions, including: strategic resource planning; monitoring and reporting on the Registry's organisational performance; acting as focal point for staff-management relations; acting as central project coordinator; and acting as focal point for audit matters. Budget resources 1,740.5 thousand 762. The requested resources have increased by 351.2 thousand, or 25.3 per cent. More than half of this increase (218 thousand) is for contractual services. These are needed for SAP enhancement projects which are mainly related to the new UN compensation scheme and HR Renewal which will introduce employee self-service, as well as to initiate a market review exercise with regards to the Court's ePerformance system. The second major factor behind the increase is GTA costs (99.7 thousand) for one new Associate ERP Systems Officer (P-2). 763. The increased in staff costs of 17.8 thousand, as there are no new additional established posts requested, is the result of OD-DMS being fully staffed after recruitment for a vacant post that was staggered in the course of 2016 and due to an in-built increase associated with the UN common system. Other increases include 8.0 thousand for consultants due to the need for outside expertise in the area of risk management, and an increase in travel of 4.8 thousand mainly for the attendance at the forthcoming Assembly session in New York. Table 56: Sub-programme 3210: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 492.5 Cont. Fund Total incl.CF 492.5 2016 Approved Budget 686.0 390.0 492.5 492.5 1,076.0 Resource changes Amount 26.3 -8.5 17.8 99.7 % 3.8 -2.2 1.7 Proposed 2017 estimates (thousands of euro) 712.3 381.5 1,093.8 99.7 3210 Office of the Director DMS Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 99.7 7.2 7.2 7.3 4.8 65.8 99.7 12.1 4.2 4.2 5.0 218.0 0.8 8.0 301.0 2.1 0.7 16.0 218.0 5.8 8.0 303.1 0.5 0.5 11.9 504.4 11.9 504.4 313.3 1,389.3 233.7 351.2 74.6 25.3 547.0 1,740.5 142 10-E-170816 ICC-ASP/15/10 Table 57: Sub-programme 3210: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3210 Office of the Director DMS USG Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total - ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - 1 1 - 1 1 3 3 1 1 - 6 6 - 6 6 6 6 12 12 - - - - - - 1.00 1.00 - 1.00 1.00 - - - 1.00 1.00 10-E-170816 143 ICC-ASP/15/10 (b) Sub-programme 3220: Human Resources Section 764. The Human Resources Section (HRS) provides HR-related services to all major programmes of the Court, to managers, staff and non-staff by providing strategic advice on human resources issues and initiatives; human resources policy development, grievances and legal matters, staff management collaboration, workforce planning, recruitment, placement of staff, redeployments, post management, (re-)classifications, special post allowances, secondments, loans and transfers, administration of contracts, salary, benefits, entitlements and payroll, insurance and pension matters, performance management, conflict resolution, training and learning programmes. Budget resources 2,323.8 thousand 765. The requested resources have increased by 293.4 thousand, or 14.5 per cent. Around two thirds of this increase, or 182.2 thousand, are for staff costs. Since no additional established posts are requested for 2017, this increase is attributable to the full implementation of the staffing structure, which in 2016 was subject to staggered recruitments of vacant posts. The second major increase relates to training, an increase of 93.3 thousand, which services the entire Court. This is required for the Court's central management and leadership training, performance management training and language training, as well as for the Court's on-boarding programme for new staff. An increase in consultants of 15.4 thousand is necessary to provide expertise in areas for which in-house resources and skills are not available, such as external insurance expertise for the large exercise of tendering the Court's health insurance programme and external expertise on post (re)classifications. Table 58: Sub-programme 3220: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2,038.3 2,038.3 2,038.3 585.0 2,038.3 585.0 2016 Approved Budget 881.0 1,022.1 1,903.1 Resource changes Amount % 170.8 19.4 11.4 1.1 182.2 9.6 Proposed 2017 estimates (thousands of euro) 1,051.8 1,033.5 2,085.3 3220 Human Resources Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 585.0 7.4 14.7 38.4 159.4 585.0 7.4 14.7 38.4 159.4 10.0 8.0 94.7 14.6 0.5 2.0 93.3 15.4 5.0 25.0 98.5 105.5 10.5 10.0 188.0 30.0 219.9 2,843.2 219.9 2,843.2 127.3 2,030.4 111.2 293.4 87.4 14.5 238.5 2,323.8 Table 59: Sub-programme 3220: Proposed staffing for 2017 USG ASG D-2 D-1 P-5 1 1 P-4 2 2 P-3 6 6 P-2 Total P-staff P-1 and above 9 9 GS-PL 1 1 GS-OL 15 15 Total GS-staff 16 16 Total staff 25 25 - 3220 Human Resources Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 144 10-E-170816 ICC-ASP/15/10 (c) Sub-programme 3230: Budget Section 766. The role of the Budget Section is to provide strong centralized budget oversight and facilitate the coordination of strategic priorities of the Court to meet its objectives, while ensuring maximum efficiency in the utilization of its resources. This includes the coordination and preparation of the annual programme budgets and subsequent supplementary budgets, monitoring of budget performance, the preparation of forecasts, providing strategic advice on budgetary issues and analysis of resource allocation. The Section is also responsible for the preparation of Contingency Fund notifications, budget and forecast information and reports to management, the Committee and the Assembly. Budget resources 568.5 thousand 767. The requested resources have decreased by 4.9 thousand, or -0.9 per cent. The Budget Section was one of the few Sections which was not subject to staggered recruitment of vacant post in 2016. As such, there is no increase in staff costs linked to filling up of vacant posts but, in fact, there is a small decrease of 8.5 thousand. This has off-set the increase of 3.6 thousand in travel costs to cover travel to the forthcoming Assembly session which will be held in New York and for attendance at the Annual UN Budget Network Meeting in order to keep abreast of current developments regarding the UN common system and other budgetary matters relevant to the Court. Table 60: 3230 Budget Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 8.0 573.4 3.6 -4.9 45.0 -0.9 11.6 568.5 5.2 5.2 1.5 1.5 2.8 3.6 128.6 1.5 1.5 6.4 Sub-programme 3230: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget 368.8 195.1 563.9 Resource changes Amount -4.1 -4.4 -8.5 % -1.1 -2.3 -1.5 Proposed 2017 estimates (thousands of euro) 364.7 190.7 555.4 Table 61: 3230 Budget Section Sub-programme 3230: Proposed staffing for 2017 Total P-staff P-1 and above 3 3 Total GS-staff 3 3 Total staff 6 6 - USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 1 1 - P-3 - P-2 1 1 - GS-PL - GS-OL 3 3 - Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 10-E-170816 145 ICC-ASP/15/10 (d) Sub-programme 3240: Finance Section 768. The Finance Section provides financial management services to support the efficient conduct of Court's operations as a whole at the seat of the Court and elsewhere. The Section coordinates, collates and produces the financial statements for the Court and for the Trust Fund for Victims (TFV), manages all of the Court's funds, and effectively monitors and reports on these in accordance with Assembly and donor requirements. The Section is further responsible for carrying out all disbursement activities, including preparing payment vouchers for invoices from vendors, and processing travel advances and travel settlements. Other key functions include management of assessed and voluntary contributions, treasury management, accounting and financial reporting within the Court's ERP system (SAP). Budget resources 1,554.9 thousand 769. The requested resources have increased by 103.5 thousand, or 7.1 per cent. This is almost entirely due to an increase in GTA costs of 99.7 thousand which are needed for funding one new Associate Accounts Officer (P-2) GTA in order to reinforce stability of accounting function at the Court, strengthen internal financial control and further improve the ERP system to facilitate preparation of IPSAS-compliant financial statements in line with the draft External Audit recommendation. There is also an increase in contractual services of 12.3 thousand which is required to cover the External Auditors' fees, the US Tax Reimbursement Administrative fees and the mandatory actuarial valuation for IPSAS-compliant financial statements. Table 62: 3240 Finance Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Sub-programme 3240: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 1,758.2 1,758.2 316.6 16.5 333.1 8.2 140.3 9.6 105.3 Cont. Fund Total incl.CF 1,758.2 1,758.2 316.6 16.5 333.1 8.2 140.3 9.6 105.3 2016 Approved Budget 454.1 845.3 1,299.4 Resource changes Amount 0.3 -18.7 -18.4 99.7 % 0.1 -2.2 -1.4 Proposed 2017 estimates (thousands of euro) 454.4 826.6 1,281.0 99.7 5.0 104.7 4.8 89.4 10.0 65.0 5.0 5.0 3.4 77.1 5.0 62.0 99.7 1.4 12.3 5.0 3.0 1,994.0 41.2 16.0 100.0 4.8 263.4 2,354.7 263.4 2,354.7 147.5 1,451.9 21.7 103.0 14.7 7.1 169.2 1,554.9 Table 63: Sub-programme 3240: Proposed staffing for 2017 Total P-staff P-1 and above 4 4 1.00 1.00 Total GS-staff 13 13 Total staff 17 17 1.00 1.00 3240 Finance Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 - P-3 2 2 - P-2 1 1 1.00 1.00 GS-PL - GS-OL 13 13 - 146 10-E-170816 ICC-ASP/15/10 (e) Sub-programme 3250: General Services Section 770. The General Services Section (GSS) is responsible for daily building operations, customer service, management of soft services such as catering, cleaning and utilities, hard services such as buildings maintenance, and major repairs and replacements. GSS is also responsible for the assessment, maintenance and adaptation of rental and other premises at field locations. Furthermore, through procurement, the Section provides value-for-money goods and services required by all major programmes of the Court. The Section also provides distribution, supply chain services, fleet management, and shipping at Headquarters and field locations; and local transportation, including full support to delivery of witnesses to trial hearings, mail operations, asset management and warehousing at Headquarters. All the Court's official travel, related visa services and residence permits at The Hague, administrative functions related to privileges and immunities and the shipment of personal goods on appointment and separation are also arranged by GSS. Budget resources 7,647.1 thousand 771. The proposed resources have increased by 272.0 thousand, or 3.7 per cent. This is essentially due to an increase of 321.0 thousand for equipment, namely vehicles, in the field offices. As detailed before, there is a pressing need for capital replacement and major renovation of vehicles in the field office locations in order to ensure the safety and efficiency of Court operations, as well as for the Court to provide duty of care towards its staff. The second major increase relates to staff costs, an increase of 78.0 thousand, which is entirely due to the build-up of the GSS structure that was partially staggered in the course of 2016 and due to associated costs of the UN common system. In other words, there are no additional established posts in GSS. There is, however, an increase in GTA costs (36.2 thousand) which is requested to continue funding one Handyman (GS-OL), which has been approved for six months in 2016, and is required for the full year in 2017. The position will be discontinued in 2018, by which time it is anticipated that a general maintenance contractor will be contracted to conduct preventative and corrective maintenance at the Court. 772. Importantly, the Section's budget presents decreases both in contractual services (-33.4 thousand) and in general operating expenses (-151.3 thousand). The savings in contractual services are because the Court procured commercial insurance premiums at a more favourable rate than originally estimated. The reduction of 151.3 thousand under general operating expenses is due to the revaluation of requirements for 2017, compared to 2016, using actual expenditure for the first half of 2016 as a guide. 10-E-170816 147 ICC-ASP/15/10 Table 64: Sub-programme 3250: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 2,737.4 Cont. Fund Total incl.CF 2,737.4 2016 Approved Budget 727.3 2,497.6 2,737.4 77.5 2,737.4 77.5 3,224.9 36.1 Resource changes Amount 47.3 30.7 78.0 36.2 % 6.5 1.2 2.4 100.3 Proposed 2017 estimates (thousands of euro) 774.6 2,528.3 3,302.9 72.3 3250 General Services Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 94.5 172.0 20.1 94.5 172.0 20.1 120.0 156.1 20.9 36.2 12.1 23.2 57.9 120.0 192.3 33.0 14.2 9.9 14.2 9.9 277.5 8.0 -33.4 -2.0 -12.0 -25.0 244.1 6.0 1,722.1 245.5 60.7 2,072.5 4,981.9 27.0 27.0 27.0 1,722.1 245.5 87.7 2,099.5 5,008.9 3,178.3 229.9 279.5 3,994.1 7,375.1 -151.3 11.4 321.0 157.8 272.0 -4.8 5.0 114.8 4.0 3.7 3,027.0 241.3 600.5 4,151.9 7,647.1 Table 65: Sub-programme 3250: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3250 General Services Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - - - 1 1 2 2 1 1 3 3 - 7 7 3 3 36 36 39 39 46 46 - - - - - - - - - - - 1.00 1.00 1.00 1.00 1.00 1.00 148 10-E-170816 ICC-ASP/15/10 (f) Sub-programme 3290: Security and Safety Section 773. The Security and Safety Section (SSS) provides a safe, secure and confidential working environment for the Court's judges and elected officials, staff members, experts, counsel, accused persons, witnesses, visitors and others at Headquarters. The Section also protects tangible and intangible assets of the Court, and provides the necessary security and safety services for the safe and undisturbed conduct of court hearings. Budget resources 5,515.7 thousand 774. The requested resources have increased by 80.6 thousand, or 1.5 per cent. There is an increase in staff costs (80.6 thousand) and GTA resources (42.3 thousand). However, there are no new established posts or GTA positions. As such, these increases are due to the fact that while in 2016 SSS structure was subject to staggered implementation and thus a high vacancy rate, in 2017 this structure is expected to be back at its normal level. The increase in overtime of 37.4 thousand is requested to cover additional hearings to be held in the second and third courtrooms. This is the most cost-efficient option and cheaper than, for instance, having additional GTA positions to cover the additional hearings in 2017. However, about half of the total increases for the Section have been offset by decreases in travel (56.8 thousand), supplies and materials (14.1 thousand), and general operating expenses (10.0 thousand). Table 66: Sub-programme 3290: Proposed staffing for 2017 2015 Expenditures (thousands of euro) Total 5,193.5 5,193.5 272.4 308.1 580.5 269.0 233.5 105.1 196.3 57.6 3.8 865.3 6,639.3 91.0 91.0 16.1 11.9 63.0 Cont. Fund Total incl.CF 5,193.5 5,193.5 272.4 308.1 580.5 280.9 296.5 105.1 196.3 73.7 3.8 956.3 6,730.3 589.2 5,435.1 -79.8 80.6 -13.5 1.5 509.4 5,515.7 2016 Approved Budget 367.7 3,967.3 4,335.0 317.5 193.4 510.9 160.1 82.0 116.7 125.0 105.4 1.1 -10.0 -14.1 0.9 -8.0 -13.4 Resource changes Amount 35.7 45.0 80.7 42.3 37.4 79.7 -56.8 % 9.7 1.1 1.9 13.3 19.3 15.6 -35.5 Proposed 2017 estimates (thousands of euro) 403.4 4,012.3 4,415.7 359.8 230.8 590.6 103.3 82.0 117.8 115.0 91.3 3290 Security and Safety Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Table 67: Sub-programme 3290: Proposed staffing for 2017 Total P-staff P-1 and above 3 3 Total GS-staff 69 69 7.00 7.00 Total staff 72 72 7.00 7.00 3290 Security and Safety Section USG ASG Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total - D-2 - D-1 - P-5 1 1 - P-4 2 2 - P-3 - P-2 - GS-PL 4 4 - GS-OL 65 65 7.00 7.00 10-E-170816 149 ICC-ASP/15/10 3. (a) Programme 3300: Division of Judicial Services (DJS) Sub-programme 3310 - Office of the Director 775. The Office of the Director of the Division of Judicial Services (OD-DJS) is responsible for ensuring the strategic coordination of the Court's judicial activities and coordination of the implementation of Chambers' orders and instructions. Budget resources 464.0 thousand 776. The total resource increase in OD-DJS amounts to 4.2 thousand, or 0.9 per cent and is mostly the result of an increase in general operating expenses of 13.1 thousand for the purposes of facilitating the appearance of persons summoned before the Court. Notably, the travel budget has been reduced by 11.9 thousand. The number of established posts remains the same as in 2016. There are no GTA positions required for 2017. Table 68: Sub-programme 3310: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 16,369.0 Cont. Fund Total incl.CF 16,369.0 2016 Approved Budget 11,119.4 4,851.2 16,369.0 1,713.5 593.8 14.5 2,321.8 430.5 424.8 82.1 221.7 3,030.2 1,233.6 4,720.4 128.2 795.8 11,067.3 29,758.1 64.0 26.1 78.6 2,077.6 2,174.8 5.0 1,847.3 97.2 32.0 24.6 97.2 16,369.0 1,810.7 593.8 14.5 2,419.0 462.5 449.4 82.1 226.7 4,877.5 1,233.6 4,784.4 154.3 874.4 13,144.9 31,932.9 15,970.6 1,041.5 649.8 25.0 1,716.3 407.1 708.7 72.2 194.9 4,521.4 1,963.2 5,235.4 195.1 533.0 13,831.0 31,517.9 Resource changes Amount 831.0 77.2 908.2 1,105.0 344.7 10.0 1,459.7 113.7 -157.8 20.8 196.4 -851.7 -760.4 830.3 94.3 667.3 152.9 2,520.8 % 7.5 1.6 5.7 106.1 53.0 40.0 85.0 27.9 -22.3 28.8 100.8 -18.8 -38.7 15.9 48.3 125.2 1.1 8.0 Proposed 2017 estimates (thousands of euro) 11,950.4 4,928.4 16,878.8 2,146.5 994.5 35.0 3,176.0 520.8 550.9 93.0 391.3 3,669.7 1,202.8 6,065.7 289.4 1,200.3 13,983.9 34,038.7 3300 Division of Judiciary Services Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Table 69: Sub-programme 3310: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3310 Office of the Director DJS Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - - 1 1 - - 1 1 1 1 - 3 3 - 1 1 1 1 4 4 - - - - - - - - - - - - - - 150 10-E-170816 ICC-ASP/15/10 (b) Sub-programme 3320: Court Management Section 777. The Court Management Section (CMS) is the custodian of audio-visual and written records of proceedings, as well as receives, registers and distributes decisions, orders and documents from Chambers, parties and participants in situations and cases. The Section ensures scheduling and publication of courtroom proceedings through maintenance of the Court calendar, and serves as the communication hub for parties, participants, Chambers and relevant Registry sections in all matters relating to the organisation of hearing. Budget resources 3,456.2 thousand 778. The total resource increase in CMS amounts to 280.1 thousand, or 8.8 per cent, and is mostly due to the proposed increase of 332.2 thousand in TAM required by the Section for the hiring of Court Reporters to support the running of two fully functional courtrooms for 440 days and a third courtroom during 60 additional days in 2017. The number of established posts remains at the same level as in 2016; therefore the increase of 86.0 thousand is mostly in relation to the build-up of the CMS structure that was partially staggered in the course of 2016. The increase in GTA costs of 153.4 thousand is in the light of one new ECourt project manager (P-4) GTA. Notably, CMS is proposing a decrease of 320.0 thousand in contractual services due to the fact that outsourcing of court reporting to complement in-house capacity is no longer required, which almost completely off-sets the increase in TAM. Table 70: Sub-programme 3320: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2,335.6 2,335.6 2,335.6 232.5 2,335.6 232.5 2016 Approved Budget 1,338.5 1,171.5 2,510.0 314.3 Resource changes Amount % 80.7 6.0 -10.9 -0.9 69.8 2.8 146.0 46.5 332.2 478.2 25.1 -320.0 152.1 Proposed 2017 estimates (thousands of euro) 1,419.2 1,160.6 2,579.8 460.3 332.2 792.5 25.1 3320 Court Management Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 232.5 25.6 45.0 232.5 25.6 45.0 314.3 320.0 5.5 -100.0 5.5 26.3 38.9 109.5 2,677.6 38.9 109.5 2,677.6 351.8 3,176.1 3.4 -291.5 256.5 12.9 -82.9 8.1 29.7 60.3 3,432.6 Table 71: Sub-programme 3320: Proposed staffing for 2017 Total P-staff P-1 and above 15 15 1.00 1.00 2.00 Total GS-OL GS-staff 17 17 3.00 3.00 18 18 3.00 3.00 Total staff 33 33 4.00 1.00 5.00 3320 Court Management Section USG Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total ASG - D-2 - D-1 - P-5 1 1 - P-4 1.00 1.00 P-3 2 2 - P-2 12 12 1.00 1.00 GS-PL 1 1 - 10-E-170816 151 ICC-ASP/15/10 (c) Sub-programme 3325: Information Management Services Section 779. The Information Management Services Section (IMSS) provides information management and information technology solutions and services to the Court. Information management pertains to governance, processes and technology to manage court information from creation through to destruction. Information technology includes defining, implementing and supporting applications such as SharePoint, TRIM, Ringtail and eCourt. IMSS also implements and maintains core IT solutions and services for telecommunications, networking, databases, and e-mail services for all Court activities. Finally, IMSS is responsible for information security governance and solutions in order to ensure that information is managed in a secure environment, that it is accessed only by authorized users and that risks to information being deleted, lost or disclosed are minimized. Budget resources 10,365.7 thousand 780. The total proposed increase in IMSS amounts to 1,905.7 thousand, or 22.5 per cent. The proposed increase is mostly linked to increases in non-staff costs (contractual services, general operating expenses, supplies and materials, and furniture and equipment) amounting to 1,476.0 thousand required for priority investments agreed by the Coordination Council for key Court-wide information management projects and security capacity. Such projects include IT investments in the Court's capacity for data storage required to support the increase in courtroom activities, improvements to information security, and updating the Court's hardware and software to protect the Court's information. The number of established posts remains the same and there are no GTAs requested in IMSS. The increase in staff costs of 419.7 thousand is therefore the result of the implementation of the Registry's structure in light of the reductions made in 2016 with a view to staggering its implementation. Table 72: Sub-programme 3325: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 4,351.7 Cont. Fund Total incl.CF 4,351.7 2016 Approved Budget 1,769.1 2,200.8 4,351.7 243.2 4,351.7 243.2 10.0 14.5 257.7 49.7 14.5 257.7 49.7 25.0 35.0 24.8 10.0 10.0 -0.1 40.0 28.6 -0.4 10.0 35.0 45.0 24.7 3,969.9 Resource changes Amount 275.9 88.2 364.1 % 15.6 4.0 9.2 Proposed 2017 estimates (thousands of euro) 2,045.0 2,289.0 4,334.0 3325 Information Management Services Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 263.9 68.7 263.9 68.7 205.6 60.7 182.2 88.6 387.8 60.7 2,938.3 113.8 750.1 4,184.5 8,793.9 10.4 26.1 78.6 115.1 115.1 2,948.7 139.9 828.7 4,299.6 8,909.0 3,478.4 152.6 533.0 4,455.1 8,460.0 536.2 90.4 667.3 1,476.0 1,850.1 15.4 59.2 125.2 33.1 21.9 4,014.6 243.0 1,200.3 5,931.1 10,310.1 152 10-E-170816 ICC-ASP/15/10 Table 73: Sub-programme 3325: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3325 Information Management Services Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - - - 1 1 5 5 6 6 7 7 - 19 19 - 36 36 36 36 55 55 - - - - - - - - - - - - - - 10-E-170816 153 ICC-ASP/15/10 (d) Sub-programme 3330: Detention Section 781. The Detention Section (DS) provides safe, secure and humane conditions for persons detained by the Court while awaiting trial or pending appeal. Its overall objective is to ensure a physically and mentally healthy environment for detained persons at every stage of detention, from their initial transfer to the Court until they are either released on the Court's order or transferred to a State of enforcement to serve a sentence. Budget resources 2,488.4 thousand 782. The proposed increase for DS for 2017 amounts to 297.2 thousand, or 13.6 per cent. The major cost driver in DS constitutes an increase of 276.0 thousand in general operating expenses for the expenses incurred by the Detention Centre due to the downscaling of the ICTY, which forces the Registry to cover the rest of the costs formerly shared with ICTY. The number of established posts remains unchanged and no GTAs have been requested for 2017. Table 74: Sub-programme 3330: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 408.6 408.6 Cont. Fund Total incl.CF 408.6 408.6 2016 Approved Budget 305.2 130.0 435.2 Resource changes Amount -3.4 -2.8 -6.2 % -1.1 -2.2 -1.4 Proposed 2017 estimates (thousands of euro) 301.8 127.2 429.0 3330 Detention Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 2.4 2.4 3.9 3.9 16.8 50.0 5.0 55.0 6.0 16.8 6.0 1,749.8 2.1 1,804.3 2,212.9 48.8 1,798.6 2.1 1,744.0 6.0 1,756.0 2,191.2 276.0 1.5 298.2 292.0 15.8 25.0 17.0 13.3 2,020.0 7.5 2,054.2 2,483.2 53.8 53.8 1,858.1 2,266.7 Table 75: Sub-programme 3330: Proposed staffing for 2017 Total P-staff P-1 and above 3 3 Total GS-staff 2 2 Total staff 5 5 - 3330 Detention Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 - P-4 1 1 - P-3 - P-2 2 2 - GS-PL - GS-OL 2 2 - 154 10-E-170816 ICC-ASP/15/10 (e) Sub-programme 3340: Languages Services Section 783. The Language Services Section (LSS) provides language services, including translation, revision and editing of Court documents, to the Judiciary, the parties to the proceedings and the Registry. It also provides simultaneous interpretation for trial hearings, press conferences, meetings and other events at the seat of the Court and elsewhere. Furthermore, the Section oversees language tools to ensure that consistent terminology is used across the Court, and assists with the recruitment, training and accreditation of field interpreters jointly with the Language Services Unit of the Office of the Prosecutor. Budget resources 10,365.7 thousand 784. The proposed increase for LSS for 2017 amounts to 942.4 thousand, or 14.9 per cent. The increase of 212.9 thousand in established posts is due to the restoration of costs deferred in 2016 in the light of the staggered implementation of the Registry's structure; no new established posts are requested. The main increase corresponds to the request for an additional 663.7 in GTA costs in order to fund the additional capacity required to support the three ongoing trial proceedings in the most cost-effective way. 785. Three Court Interpreters (P-3), one for English and two for French, are being requested for six months each in relation to the capacity necessary to provide services in three ongoing trial proceedings. Three new Paraprofessional Interpreters in Acholi (P-1) and one Language Assistant in Acholi (GSPL) are required to support trial proceedings in the Ongwen case in order to provide interpretation in the language of the accused, as well as that of the majority of the witnesses. One new Administrative Assistant (GSOL) is required to provide general operational support in all judicial support activities. Table 76: Sub-programme 3340: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 5,248.7 Cont. Fund Total incl.CF 5,248.7 2016 Approved Budget 4,391.4 503.7 5,248.7 539.0 593.8 62.6 5,248.7 601.6 593.8 4,895.1 560.0 639.8 Resource changes Amount 157.5 21.2 178.7 659.6 12.5 % 3.6 4.2 3.7 117.8 2.0 Proposed 2017 estimates (thousands of euro) 4,548.9 524.9 5,073.8 1,219.6 652.3 3340 Language Services Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 1,132.8 138.9 62.6 13.3 1,195.4 152.2 1,199.8 132.9 672.1 18.8 56.0 14.1 1,871.9 151.7 74.6 9.4 0.5 74.6 9.4 0.5 75.6 2.7 -9.5 -2.7 46.7 -12.6 -100.0 66.1 46.7 10.2 10.2 7.2 7.2 233.6 6,615.1 13.3 75.9 246.9 6,691.0 218.4 6,313.3 53.3 904.1 24.4 14.3 271.7 7,217.4 10-E-170816 155 ICC-ASP/15/10 Table 77: Sub-programme 3340: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3340 Language Services Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - - - 1 1 13 13 19 19 8 8 - 41 41 1 1 7 7 8 8 49 49 - - - - - - 3.00 1.50 4.50 - 3.00 3.00 3.00 4.50 7.50 1.67 0.03 1.70 0.18 3.04 3.22 1.85 3.07 4.92 4.85 7.57 12.42 156 10-E-170816 ICC-ASP/15/10 (f) Sub-programme 3360: Victims Participation and Reparations Section 786. The Victims Participation and Reparations Section (VPRS) is responsible for assisting victims in participating in different phases of the proceedings and reparations. The Section undertakes operations both in the field, to enable victims to make their applications, be legally represented and participate in proceedings effectively, and at the seat of the Court, to manage applications for participation and reparations. Budget resources 1,609.8 thousand 787. The proposed increase for VPRS for 2017 amounts to 180.7 thousand, or 12.6 per cent. The increase is mainly in relation to the additional 173.0 thousand in GTA resources to fund two Assistant Legal Officers (P-1) and two Data Processing Assistants (GS-OL) for six months each. These posts are related to support the victims participation process in the Ongwen case, which expects a substantial amount of victims applying for participation in addition to the 2,000 victims already participating in the proceedings. While the number of established posts remains unchanged, a reclassification of the post of the Chief of VPRS from P-4 to P-5 is proposed. Table 78: Sub-programme 3360: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 1,249.9 1,249.9 458.4 3.5 Cont. Fund Total incl.CF 1,249.9 1,249.9 461.9 2016 Approved Budget 845.9 390.1 1,236.0 Resource changes Amount 134.8 -8.6 126.2 171.8 % 15.9 -2.2 10.2 Proposed 2017 estimates (thousands of euro) 980.7 381.5 1,362.2 171.8 3360 Victims Participation and Reparation Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 458.4 101.7 41.1 3.5 30.7 3.5 18.7 24.6 461.9 120.4 65.7 3.5 30.7 119.8 57.5 2.8 10.0 171.8 -26.4 -10.5 2.5 -22.0 -18.3 89.3 171.8 93.4 47.0 5.3 10.0 1.7 1.4 180.1 1,888.4 43.3 46.8 1.7 1.4 223.4 1,935.2 3.0 193.1 1,429.1 -1.0 -35.4 262.6 -33.3 -18.3 18.4 2.0 157.7 1,691.7 Table 79: Sub-programme 3360: Proposed staffing for 2017 Total P-staff P-1 and above 1 1 1.00 1.00 10 10 1.00 1.00 Total GS-OL GS-staff 6 6 1.00 1.00 6 6 1.00 1.00 Total staff 16 16 2.00 2.00 3360 Victims' Participation and Reparations Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 - P-3 2 2 - P-2 6 6 - GS-PL - 10-E-170816 157 ICC-ASP/15/10 (g) Sub-programme 3370: Office of Public Counsel for the Defence 788. The Office of Public Counsel for the Defence (OPCD) can be appointed to represent the rights of suspects at the initial stages of a case. At the same time, the Office assists the Defence teams with legal research and case management ensuring their ability to comply with judicial deadlines and focus on relevant legal issues. Budget resources 667.1 thousand 789. The total increase for OPCD for 2017 amounts to 52.3 thousand, or 8.5 per cent, and is directly linked to an increase in GTA resources. While there are no new GTA positions requested in 2017, 52.2 thousand are required to fund for a full year the Legal Officer (P-3) GTA position approved in 2016 for seven months. Table 80: Sub-programme 3370: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 459.1 Cont. Fund Total incl.CF 459.1 2016 Approved Budget 456.5 65.0 459.1 40.2 459.1 40.2 521.5 69.8 Resource changes Amount -4.1 -1.4 -5.5 53.0 % -0.9 -2.2 -1.1 75.9 Proposed 2017 estimates (thousands of euro) 452.4 63.6 516.0 122.8 3370 Office of Public Counsel for Defence (OPCD) Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 40.2 6.9 40.2 6.9 69.8 3.0 53.0 1.4 75.9 46.7 122.8 4.4 0.2 0.2 20.0 0.5 -20.0 0.1 20.0 -100.0 20.0 0.6 20.0 0.4 0.4 7.5 506.8 7.5 506.8 23.5 614.8 1.5 49.0 6.4 8.0 25.0 663.8 Table 81: Sub-programme 3370: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3370 Office of Public Counsel for Defence Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - - - 1 1 1 1 - 1 1 1 1 4 4 - 1 1 1 1 5 5 - - - - - - 1.00 1.00 - - 1.00 1.00 - - - 1.00 1.00 158 10-E-170816 ICC-ASP/15/10 (h) Sub-programme 3380: Office of Public Counsel for Victims 790. The Office of Public Counsel for Victims (OPCV) assists victims in proceedings before the Court, provides high-quality representation for victims and support and assistance to external counsel, and appears before Chambers in respect of specific issues. Counsel from the OPCV have been appointed as common Legal Representatives in Ntaganda, Gbabgo and Blé Goudé and Ongwen at trial, and in Lubanga reparations proceedings, as well as for applicants for reparations in the Bemba proceedings. Budget resources 1,836.9 thousand 791. The proposed increase for OPCV for 2017 amounts to 254.6 thousand, or 16.1 per cent. The number of established posts remains unchanged from 2016. There are no new GTA positions requested in 2017. The main budgetary increase is linked to an increase in consultants of 149.7 thousand and travel of 42.5, resources which are required as a result of the appointment of OPCV as common Legal Representative in the Ongwen case, as well as Legal Representative of potential beneficiaries for reparations in the Lubanga case. Table 82: Sub-programme 3380: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 1,044.2 1,044.2 131.3 Cont. Fund Total incl.CF 1,044.2 1,044.2 131.3 2016 Approved Budget 1,128.5 65.0 1,193.5 97.4 Resource changes Amount 37.6 -1.4 36.2 2.3 % 3.3 -2.2 3.0 2.4 Proposed 2017 estimates (thousands of euro) 1,166.1 63.6 1,229.7 99.7 3380 Office of Public Counsel for Victims (OPCV) Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 131.3 75.0 131.3 75.0 97.4 96.5 30.0 2.3 42.5 20.0 149.7 2.4 44.0 66.7 97.3 99.7 139.0 50.0 303.6 115.2 115.2 153.9 19.0 4.8 23.8 11.0 11.0 209.2 1,384.7 4.8 4.8 214.0 1,389.5 291.4 1,582.3 212.2 250.7 72.8 15.8 503.6 1,833.0 Table 83: Sub-programme 3380: Proposed staffing for 2017 Total P-staff P-1 and above 2 2 11 11 1.00 1.00 Total GS-staff 1 1 Total staff 12 12 1.00 1.00 3380 Office of Public Counsel for Victims Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 2 2 - P-3 3 3 - P-2 3 3 1.00 1.00 GS-PL - GS-OL 1 1 - 10-E-170816 159 ICC-ASP/15/10 (i) Sub-programme 3390: Counsel Support Section 792. The Counsel Support Section (CSS) is responsible for centralizing and coordinating all assistance provided to Counsel by the Court, and serves as the Registry's focal point for the Offices of Public Counsel. The Section also manages the Court's programme of legal aid for indigent defendants and victims and handles all provisions relating to the activities of the Court's disciplinary organs. Budget resources 5,955.5 thousand 793. The Section's proposed budget for 2017 has identified a total decrease of resources of 1,335.8 thousand, or -18.3 per cent. The decrease is mainly due to the application of the amended remuneration for Counsel representing clients in cases concerning offences against the administration of justice (article 70 of the Rome Statute), as well as the appointment of the OPCV to represent victims in Ongwen. While no new established posts are requested, there is one new GTA position requested in 2017 amounting to an increase in GTA of 73.7 thousand, namely, a Service Coordinator (GS-OL) required to ensure a timely reaction to all service requests from defence teams and to ensure timely delivery of required services to such teams. The increase in established posts is due to the staggering number of vacant posts in the Section during 2016, for which resources will be required in 2017. Table 84: Sub-programme 3390: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 667.5 667.5 50.0 Cont. Fund Total incl.CF 667.5 667.5 81.1 2016 Approved Budget 514.3 260.1 774.4 Resource changes Amount 152.2 -5.7 146.5 72.3 % 29.6 -2.2 18.9 Proposed 2017 estimates (thousands of euro) 666.5 254.4 920.9 72.3 3390 Counsel Support Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants Counsel for Defence Counsel for Victims General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 31.1 50.0 3.2 31.1 81.1 3.2 10.3 72.3 60.4 586.4 72.3 70.7 21.7 3,030.2 1,233.6 1,847.3 21.7 4,877.5 1,233.6 20.0 4,521.4 1,963.2 2.0 -20.0 -851.7 -760.4 5.0 -100.0 -18.8 -38.7 250.0 3,669.7 1,202.8 7.0 5.4 4,294.1 5,011.6 1,847.3 1,878.4 5.4 6,141.4 6,890.0 6,516.9 7,291.3 -1,566.7 -1,347.9 -24.0 -18.5 4,950.2 5,943.4 Table 85: Sub-programme 3390: Proposed staffing for 2017 Total P-staff P-1 and above 1 1 6 6 Total GS-staff 4 4 1.00 1.00 Total staff 10 10 1.00 1.00 3390 Counsel Support Section USG Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total - ASG - D-2 - D-1 - P-5 1 1 - P-4 2 2 - P-3 - P-2 2 2 - GS-PL - GS-OL 4 4 1.00 1.00 160 10-E-170816 ICC-ASP/15/10 4. (a) Programme 3800: Division of External Operations (DEO) Sub-programme 3810: Office of the Director, Division of External Operations 794. The Office of the Director (OD-DEO) has the overall responsibility for the Registry's functions in the areas of cooperation, external communications, witness protection, analysis and field operations. OD-DEO also coordinates operations in the field, including the establishment and maintenance of field offices as well as mission planning. Budget resources 421.4 thousand 795. The requested resources have increased by 0.1 thousand, or 0.0 per cent. Taking into account the increase in staff costs, which is fully accounted for by the staggered implementation of the Registry's structure, the operational costs for OD-DEO have in fact decreased. With respect to non-staff resources, the major cost-driver for the sub-programme is travel, where increased funds are requested to allow for the Director of DEO to fulfil his functions with respect to oversight of the field offices, implementation of judicial decisions and engagement with external interlocutors to further the operations of the Registry. Funds previously budgeted under general operating expenses have been redeployed to the Office of the Director, Division of Judicial Services. Table 86: Sub-programme 3810: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget 238.7 65.0 303.7 Resource changes Amount 43.4 -1.4 42.0 % 18.2 -2.2 13.8 Proposed 2017 estimates (thousands of euro) 282.1 63.6 345.7 3810 Office of the Director, Division of External Operations Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 20.3 55.4 272.9 75.7 97.3 -97.3 -100.0 117.6 421.3 -41.9 0.1 -35.6 0.0 75.7 421.4 Table 87: Sub-programme 3810: Proposed staffing for 2017 Total P-staff P-1 and above 2 2 Total GS-staff 1 1 Total staff 3 3 - 3810 Office of the Director DEO Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 1 1 - P-5 - P-4 - P-3 1 1 - P-2 - GS-PL - GS-OL 1 1 - 10-E-170816 161 ICC-ASP/15/10 (b) Sub-programme 3820: External Operations Support Section 796. The External Operations Support Section (EOSS) performs the Registry's functions with respect to State cooperation and external relations, mission planning, support to the field offices and crisis management support as well as information collection and analysis. Budget resources 2,239.1 thousand 797. The requested resources have increased by 211.1 thousand, or 10.4 per cent. The entirety of this increase is accounted for by the staggered implementation of Registry staffing. Non-staff resources have decreased by 10.1 thousand or 8.4 per cent primarily due to postponement of investments and redeployment of funds under contractual services. Increased resources are requested under general operating expenses for data analysis and training in relation to security analysis and financial investigations. Table 88: Sub-programme 3820: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 2,002.8 Cont. Fund Total incl.CF 2,002.8 2016 Approved Budget 1,485.4 422.6 2,002.8 562.6 23.3 2,002.8 585.9 1,908.0 Resource changes Amount 198.7 22.5 221.2 % 13.4 5.3 11.6 Proposed 2017 estimates (thousands of euro) 1,684.1 445.1 2,129.2 3820 External Operations Support Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 16.8 579.4 173.5 23.3 54.5 16.8 602.7 228.0 52.0 -0.1 -0.2 51.9 339.2 1.6 69.3 408.5 1.6 65.0 -50.0 20.0 -76.9 15.0 20.0 847.4 142.9 248.1 1,752.7 4,334.9 95.2 28.8 249.1 496.9 520.2 942.6 171.7 497.2 2,249.6 4,855.1 120.0 2,028.0 3.0 23.0 -3.0 -100.0 23.0 -10.1 211.1 -8.4 10.4 109.9 2,239.1 Table 89: Sub-programme 3820: Proposed staffing for 2017 Total P-staff P-1 and above Total GS-staff Total staff 3820 External Operations Support Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG ASG D-2 D-1 P-5 P-4 P-3 P-2 GS-PL GS-OL - - - - 1 1 3 3 5 5 7 7 - 16 16 - 7 7 7 7 23 23 - - - - - - - - - - - - - - 162 10-E-170816 ICC-ASP/15/10 (c) Sub-programme 3830: Victims and Witnesses Section 798. The Victims and Witnesses Section (VWS) provides protective measures and security arrangements, counselling and other appropriate assistance to witnesses, victims who appear before the Court and others who are at risk on account of testimony given by such witnesses. The VWS implements the Court's protection and support programmes and ensures the appearance before the Court of witnesses and victims called to appear before the Chambers. Budget resources 11,340.7 thousand 799. The requested resources have increased by 1,084.3 thousand, or 10.6 per cent. Over half of this increase is the result of the staggered implementation of the Registry's staffing. Three new GTA positions (1.83 FTE) are requested for the field operations in Georgia, namely one Team Leader (P-3) for 10 months, one Associate Team Leader (field) (P-2) for six months and one Associate Field Case Officer (P-2) also for six months. The cost-drivers for the VWS under non-staff resources are general operating expenses amounting to 271.0 thousand from where the core protection and assistance operations are funded. The increase resulting from an upsurge in the workload, including the new situation in Georgia has been contained by more effective workflows achieved through training as well as strengthened case management in the field. Table 90: Sub-programme 3830: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 3,061.0 3,061.0 1,341.3 Cont. Fund Total incl.CF 3,061.0 3,061.0 1,341.3 2016 Approved Budget 3,013.6 1,249.7 4,263.3 377.3 366.7 744.0 1,086.1 Resource changes Amount 363.8 154.3 518.1 302.0 26.4 328.4 -9.2 % 12.1 12.3 12.2 80.0 7.2 44.1 -0.8 Proposed 2017 estimates (thousands of euro) 3,377.4 1,404.0 4,781.4 679.3 393.1 1,072.4 1,076.9 3830 Victims and Witnesses Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 1,341.3 1,085.7 1.0 7.8 2,357.2 4.7 11.3 3,467.7 7,870.0 101.2 101.2 51.4 49.8 1,341.3 1,135.5 1.0 7.8 2,408.6 4.7 11.3 3,568.9 7,971.2 47.0 4,111.0 5.0 5,249.1 10,256.4 -23.5 271.0 -0.5 237.8 1,084.3 -50.0 6.6 -10.0 4.5 10.6 23.5 4,382.0 4.5 5,486.9 11,340.7 Table 91: Sub-programme 3830: Proposed staffing for 2017 Total P-staff P-1 and above 34 34 3.00 1.83 4.83 Total GS-staff 29 29 2.00 2.00 Total staff 63 63 5.00 1.83 6.83 3830 Victims and Witnesses Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 3 3 - P-3 7 7 0.83 0.83 P-2 23 23 3.00 1.00 4.00 GS-PL 4 4 - GS-OL 25 25 2.00 2.00 10-E-170816 163 ICC-ASP/15/10 (d) Sub-programme 3840: Public Information and Outreach Section 800. The Public Information and Outreach Section (PIOS) provides accurate and timely information about the principles, objectives and activities of the Court to the public at large and target audiences. Public information, especially through social media, is at the forefront in the Court's efforts to raise overall awareness and appreciation towards its activities among the general public. Through outreach to victims, PIOS ensures that communities affected by the cases before the Court are kept apprised of judicial proceedings. Budget resources 2,404.8 thousand 801. The requested resources have increased by 166.5 thousand, or 7.4 per cent. This increase is fully the result of the staggered implementation of the Registry structure. The increase is partly off-set by non-staff resources which have been reduced by 54.5 thousand, or 16.1 per cent. The reduction has been achieved by limiting expenditure on materials and events used for public information. The increases under supplies and materials as well as furniture and equipment is due to redeployment of funds previously budgeted under general operating expenses and is accompanied with a concomitant reduction under that budget line. Table 92: Sub-programme 3840: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total 2,114.7 2,114.7 281.6 7.5 289.1 84.8 1.0 551.3 78.9 38.6 Cont. Fund Total incl.CF 2,114.7 2,114.7 281.6 7.5 289.1 123.4 1.0 630.2 222.8 7.0 71.9 105.5 29.5 844.0 3,247.8 117.5 117.5 71.9 105.5 29.5 961.5 3,365.3 339.5 2,238.3 75.8 -42.0 3.0 -55.8 19.0 20.0 -54.5 166.5 -16.1 7.4 -18.9 42.9 -73.6 180.8 10.0 20.0 19.0 20.0 285.0 2,404.8 33.9 1.3 3.8 35.2 2016 Approved Budget 999.2 899.6 1,898.8 Resource changes Amount 166.9 54.1 221.0 % 16.7 6.0 11.6 Proposed 2017 estimates (thousands of euro) 1,166.1 953.7 2,119.8 3840 Public Information and Outreach Section Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total Table 93: Sub-programme 3840: Proposed staffing for 2017 Total P-staff P-1 and above 11 11 Total GS-staff 15 15 Total staff 26 26 - 3840 Public Information and Outreach Section Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total USG - ASG - D-2 - D-1 - P-5 1 1 - P-4 2 2 - P-3 3 3 - P-2 5 5 - GS-PL - GS-OL 15 15 - - - - - - - 164 10-E-170816 ICC-ASP/15/10 (e) Sub-programme 3850: Field Offices 802. Field offices are established in situation countries where they facilitate and serve as the base for the operations of the Court. They provide office space, vehicular support for missions and communication equipment for all Court staff, external counsel as well as the TFV working on the ground. The size and composition of each field office is determined by the stage of investigative or judicial activities and is therefore bound to fluctuate according to concrete needs. Budget resources 7,973.5 thousand 803. The requested resources have increased by 1,331.0 thousand, or 20.0 per cent. Most of this increase is under established posts (958.5 thousand) and concerns solely the additional resources to fund the approved structure in the field where implementation was staggered in 2016. Notably, the down-sizing of staff in the Kenya Field Office (676.8 thousand) has fully offset increases in established posts in other field offices (554.2 thousand), resulting in a net reduction of 122.6 thousand in established posts. 804. The major cost-driver for the field offices under non-staff resources is mission travel which results from increased activities in the field. These resources are required mainly to cover the DSA of field staff on outreach and victim participation missions, including necessary logistical and security support. Increases for the field offices in CAR, Côte d'Ivoire, Uganda and Georgia, are partly off-set by decreases for the other field presences, in particular the substantial downsizing of the Kenya Field Office. The upsurge in activities in the field and the setting up of new offices also has an effect on supplies and materials as well as general operating expenses due to the need, among other things, to purchase more fuel for generators and vehicles to support the additional missions taking place in 2017. Reductions for furniture and equipment partly off-set the increases for the other budget lines. Table 94: Overview of all established posts in the field offices for 2016 (approved) and 2017 (proposed). CAR 16 Chief of Field Office (P-5) Administration and Operations Officer (P-3) Administrative Assistant (GS-OL) Cleaner (GS-OL) Senior Driver (GS-OL) Driver (GS-OL) Field Security Officer (P-3) Associate Field Security Officer (P-2) Local Security Assistant (GS-OL) Field Officer (VPRS/Outreach) (P-3) Field Assistant (VPRS/Outreach) (GS-OL) Total 1 1 1 1 3 1 1 1 2 12 17 1 1 1 1 3 1 1 1 1 2 13 CIV 16 1 1 1 1 1 4 1 1 1 2 3 17 17 1 1 1 1 1 4 1 1 1 2 3 17 DRC 16 1 2 1 2 10 1 1 2 2 4 26 17 1 2 1 2 10 1 1 2 2 4 26 GEO 16 17 1 1 1 3 KEN 16 1 1 1 2 1 1 2 2 11 17 1 1 MLI 16 1 1 2 17 1 1 2 UGA 16 1 1 1 2 2 1 1 1 2 2 14 17 1 1 1 1 2 2 1 1 1 2 2 15 Total 16 4 7 6 5 3 21 5 3 6 9 13 82 17 5 7 5 5 3 19 5 4 5 7 12 77 10-E-170816 165 ICC-ASP/15/10 Table 95: Overview of all GTA in the field offices for 2016 (approved) and 2017 (proposed). CAR 16 17 1 1 CIV 16 1 1 17 1 1 DRC 16 2 1 1 1 5 17 1 1 GEO 16 17 KEN 16 1 1 17 1 1 MLI 16 1 1 17 1 1 2 UGA 16 1 1 17 1 1 2 4 Total 16 2 1 5 1 1 10 17 1 5 1 1 2 10 Cleaner (GS-OL) Driver (GS-OL) ICT Technician (GS-OL) Field Security Officer (P-3) Associate Field Security Officer (P-2) Field Assistant (VPRS/Outreach) (GS-OL) Total 1 1 Table 96: 3850 Field Offices Professional staff Sub-programme 3850: Proposed budget for 2017 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 2016 Approved Budget 2,865.2 1,113.9 3,979.1 251.5 Resource changes Amount 965.8 -7.3 958.5 210.7 % 33.7 -0.7 24.1 83.8 Proposed 2017 estimates (thousands of euro) 3,831.0 1,106.6 4,937.6 462.2 General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 30.0 281.5 120.0 -30.0 180.7 117.2 -100.0 64.2 97.7 462.2 237.2 1,020.3 4.9 12.7 0.5 1,025.2 12.7 985.4 201.7 54.5 2,381.9 6,642.5 20.8 64.4 -28.2 191.8 1,331.0 2.1 31.9 -51.7 8.1 20.0 1,006.2 266.1 26.3 2,573.7 7,973.5 Table 97: 3850 Field Offices Sub-programme 3850: Proposed staffing for 2017 Total P-staff and above Total GS-OL GS-staff Total staff USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 GS-PL Established Posts Existing New Returned Total GTA Posts (FTE) Existing New Converted Total 1.00 1.00 1.00 1.00 1.00 1.00 2.00 4.25 3.00 7.25 4.25 3.00 7.25 5.25 4.00 9.25 3 2 5 18 1 19 3 1 4 24 4 28 48 1 49 48 1 49 72 5 77 166 10-E-170816 ICC-ASP/15/10 Annexes Annex I Draft Resolution of the Assembly of States Parties on the proposed programme budget for 2017, the Working Capital Fund for 2017, the scale of assessment for the apportionment of expenses of the International Criminal Court, financing appropriations for 2017 and the Contingency Fund The Assembly of States Parties, Having considered the 2017 proposed programme budget of the International Criminal Court ("the Court") and the related conclusions and recommendations contained in the report of the Committee on Budget and Finance ("the Committee") on the work of its twenty-sixth and twenty-seventh sessions, A. Programme budget for 2017 1. Approves appropriations totalling 150,238,000 in the appropriation sections described in the following table: Appropriation section Major Programme I Major Programme II Major Programme III Major Programme IV Major Programme V Major Programme VI Judiciary Office of the Prosecutor Registry Secretariat of the Assembly of States Parties Premises Secretariat of the Trust Fund for Victims Thousands of euros 13,243.7 46,280.2 79,603.0 2,917.8 1,454.9 2,502.1 554.8 694.2 147,250.7 Host State Loan 2,987.3 150,238.0 Major Programme VII-5 Independent Oversight Mechanism Major Programme VII-6 Office of Internal Audit Sub-total Major Programme VII-2 Total 2. Notes that those States Parties that have opted for the one-time payment in respect of the permanent premises, and have made such payments in full, will not be assessed for the contributions corresponding to Major Programme VII-2 Host State Loan amounting to 2,987,300; 3. Further notes that these contributions will bring down the level of the 2017 programme budget appropriations that need to be assessed for contributions by States Parties from 150,238.0 to 147,250,700 and that this amount will be assessed following the principles described in section D; 10-E-170816 167 ICC-ASP/15/10 4. Further approves the following staffing tables for each of the above appropriation sections: Secretariat Assembly of Registry States Parties Secretariat Trust Fund for Victims Independent Oversight Mechanism Office of Internal Audit Judiciary USG ASG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Subtotal GS-PL GS-OL Subtotal Total 39 1 12 13 52 4 3 20 12 Office of the Prosecutor 1 1 Total 1 1 2 3 17 36 77 71 33 239 1 77 78 317 3 22 43 85 89 5 248 15 311 326 574 1 1 1 1 1 1 1 4 3 8 1 1 1 9 45 1 1 89 187 182 38 5 3 2 5 10 16 3 3 553 20 3 3 19 1 1 4 1 1 4 407 427 980 B. Working Capital Fund for 2017 The Assembly of States Parties, Resolves that the Working Capital Fund for 2017 shall be established in the amount of 11,200,000, and authorizes the Registrar to make advances from the Fund in accordance with the relevant provisions of the Financial Regulations and Rules of the Court. C. Scale of assessment for the apportionment of expenses of the Court The Assembly of States Parties, 1. Decides that for 2017, 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 applied for 2016-2018, and adjusted in accordance with the principles on which the scale is based;1 and 2. Notes that, in addition, any maximum assessment rate for the largest contributors and for the least developed countries applicable for the United Nations regular budget will apply to the Court's scale of assessment. D. Financing of appropriations for 2017 The Assembly of States Parties, Notes that the contributions to the interim premises by the host State and the payments corresponding to Major Programme VII-2 Host State Loan will reduce the level of the budget appropriations to be assessed for contributions by States Parties to 147,250,700; and 1 Rome Statute of the International Criminal Court, article 117. 168 10-E-170816 ICC-ASP/15/10 Resolves that for 2017, assessed contributions for the budget amounting to 147,250,700 and the amount for the Working Capital Fund of 11,200,000, approved by the Assembly under section A, paragraph 1, and section B, respectively, of the present resolution, will be financed in accordance with regulations 5.1, 5.2 and 6.6 of the Financial Regulations and Rules of the Court. E. Contingency Fund The Assembly of States Parties, Recalling its resolutions ICC-ASP/3/Res.4 establishing the Contingency Fund in the amount of 10,000,000 and ICC-ASP/7/Res.4 requesting the Bureau to consider options for replenishing both the Contingency Fund and the Working Capital Fund, Taking note of the advice of the Committee in the reports on the work of its eleventh, thirteenth, nineteenth and twenty-first sessions, Notes that the current level of the Fund is 5.8 million; Decides to replenish the Fund in the amount of 1.2 million in 2017; Decides to maintain the Contingency Fund at a level consistent with the 7.0 million threshold for 2017; Decides that, should the Fund fall below 7.0 million by year-end, the Assembly shall decide on its replenishment up to an amount considered appropriate, but to no less than 7.0 million; Requests the Bureau to keep the 7.0 million threshold under review in light of further experience on the functioning of the Contingency Fund. F. Transfer of funds between major programmes under the 2016 approved programme budget The Assembly of States Parties, Recognizing that under Financial Regulation 4.8 no transfer between appropriation sections may be made without authorization by the Assembly, Notes that the amount of 1,750,000, represents the cost overrun of the Permanent Premises, Decides that prior to the transfer of funds between major programmes at the conclusion of 2016, the cost overrun of the Permanent Premises should be covered by any surplus which exists under the major programmes, Further decides that, in line with established practice, the Court may transfer any remaining funds between major programmes after the overrun has been covered should costs for activities which were unforeseen or could not be accurately estimated be unable to be absorbed within one major programme, whilst a surplus exists in other major programmes, in order to ensure that appropriations for each major programme are exhausted prior to accessing the Contingency Fund. 10-E-170816 169 ICC-ASP/15/10 Annex II Organizational structure of the Court 170 10-E-170816 ICC-ASP/15/10 Annex III Assumptions and parameters for the 2017 proposed programme budget 2017 Parameters 1. 2. 3. Number of situations Number of preliminary examinations Number of active investigations Number of persons in Protection Programme Number of persons under Protection Total PPB 11 9 6 Description Central African Republic (I and II), Cote d'Ivoire, Darfur, Democratic Republic of Congo, Georgia, Kenya, Libya, Mali, Uganda and Comoros. Afghanistan, Burundi, Colombia, Guinea, Iraq, Nigeria, Palestine, Comoros and Ukraine. CAR II. a (Séléka); CAR II. B; (anti-balaka); Libya 3; CIV II; Georgia and Darfur. Witness under VWS protection including: ICCPP, assisted moves, assessment and support. Includes 49 internationally relocated witnesses which are in care of a third entity and under monitoring of ICC VWS. It is reasonable to consider that the number of persons under protection measures is likely to remain high in 2017. Currently, 575 (110 witnesses and 465 dependents) are under protection and care of the VWS in 14 Countries. Ntaganda: 100; Ongwen: 2,000; Bemba (reparations): 5,000; CAR II a (Seleka): 1,200 CAR II b (anti balaka): 1,100; Gbagbo-Blé Goudé: 100, CIV II: 2,000; Mali: 100; Georgia: 500; Lubanga (reparations): 1,500; Mudacumura: 500. 2 in DRC (Kinshasa and Bunia), 2 in Uganda (Kampala and Gulu), 1 in Kenya (Nairobi), 1 in CAR (Bangui), 2 in CIV (Abidjan and Western CIV), 1 in Mali (Bamako), 1 in Georgia (Tbilisi). Kenya field office has been reviewed. Libya 1 (1), Libya 2 (1), Dar 1 (2), Dar 2&4 (1), Dar 3 (1), CIV 1Bis (SG) (1), DRC 3&4 (1), Kenya Art.70 (3), Uganda (Kony) (1), na The term "suspect" refers to a person against whom a warrant of arrest has been delivered; the term "accused" refers to a person against whom charges are confirmed until appeals Chamber judgment is final (convicted/acquitted). Ntaganda, Sang, Bemba (2 teams), Kilolo, Babala, Mangenda, Arido, Ongwen, Gbagbo L, Blé Goudé , Gbagbo S (reduced activity), Gaddafi (reduced activity), Banda (reduced activity), Lubanga, Katanga Cells come in blocks of 6 na 4. 110 5. 575 6. Number of victims applying for participation/reparation 14,100 7. Number of field offices/presences Arrest warrants pending execution Number of languages supported for correspondence with States Parties Number of suspects/accused appearing before the Court Number of defence teams financed by Legal Aid 10 8. 12 9. 24 10. 9 11. 12 6 5 12. Number of cells required 13. Number of suspects/accused in detention Number of victims' 14. representatives financed by Legal Aid 5 1 in Bemba 2 in Lubanga, 1 in Katanga, 1 in Ongwen. 1 -Tamasheq, 2-Zaghawa, 3-Swahili standards, 4-Swahili Congolese, 5-Kinyarwanda, 6-Acholi, 7-Dioula, 8-Bambara, 9-Lingala ,10-Alur, 11-Arabic (standard), 12-Arabic (Sudanese), 13-Ateso, 14-Fur, 15-Kalenjin, 16-Kikuyu, 17-Lango, 18-Luganda, 19-Luo, 20-Ngiti, 21-Sango, 22- Russian, 23- Georgian and 24-South-Ossetian. Case 1: 35 weeks - 175 days; Case 2: 33 Weeks - 165 days; Case 3: 32 weeks - 160 days. Only 6 x 2 weeks of 3rd courtroom use = 60 days Trial Chamber I (Gbagbo/Blé Goudé); Trial Chamber VI (Ntaganda); new Trial Chamber IX (Ongwen). This assumes that current trial proceedings in Bemba et al (Article 70) and Al-Mahdi are concluded by the end of 2016. In addition there will be continuing work on reparations in the Lubanga, Katanga and Bemba cases in Trial Chamber II and possibly in Trial Chamber III. CIV 1 (LG & CBG), DRC 6 (Bosco Ntaganda), Uganda (Dominic Ongwen). 15. Number of case-related languages supported 24 16. Number of planned Court hearings in 12 months 500 17. Number of trial teams (Chambers) 3 plus two reparations teams 3 18. Number of trial teams (OTP) 10-E-170816 171 ICC-ASP/15/10 19. 20. 21. 22. Number of Registry courtroom support teams Number of languages supported in courtroom Number of witnesses appearing for testimony Expected maximum duration of stay per witness 2+ teams 8 92 15 2 1-English, 2-French, 3- Congolese Swahili, 4-Kinyarwanda, 5-Acholi, 6-Dioula, 7-Bambara, 8-Lingala. 92 witnesses for three trial hearing / year: Ntaganda; CIV: Gbagbo/L, Blé Goudé; and Ongwen. 5 Prep days + 5 hearing days + 3 familiarization days + 2 days (1 weekend after) = 15 average per witness. Bemba et al (Article 70), Bemba (main case). 23. Number of final appeals Annex IV List of potential developments which could impact on the 2017 proposed programme budget 1. Procedural developments leading to delays in ongoing proceedings: (a) (b) Delays in proceedings due to unexpected evidentiary obstacles (example: (temporary) unavailability of witnesses); and Issues subject to interlocutory appeals before the Appeals Chamber: any interlocutory appeals (requiring suspensive effect) in cases on trial, delaying progress in proceedings on the merits. 2. Procedural developments currently unforeseeable: (a) (b) (c) (d) (e) United Nations Security Council referral of a situation to the Court; State Party referral; Prosecutor opening a proprio motu investigation in a new situation (after having sought and obtained leave to do so from the Pre-Trial Chamber); Arrest or surrender to the Court of persons sought under a warrant of arrest; Surrender to the Court of persons sought under a warrant of arrest and already detained in other countries (examples: Simone Gbagbo; Saif Al-Islam Gaddafi; Abdullah Al-Senussi); and (Temporary) unavailability of a judge or other key party to the proceedings due to serious illness. (f) 172 10-E-170816 ICC-ASP/15/10 Annex V (a) List of strategic goals of the International Criminal Court (2013-2017) Goal 1: Judicial and Prosecutorial 1.1 Ensure high quality, fair, transparent and expeditious judicial proceedings, while further refining legal standards through well-developed jurisprudence and encouraging the development of standardised processes. Goal 2: Managerial Goal 3: Cooperation and Support 2.1 Deliver coherent governance and 3.1 Facilitate the work of the Assembly of efficient, well-planned and States Parties ("ASP") in exercising its cost-effective administration to management oversight while fully support the Court's judicial respecting the independence of the functions, actively managing change Court. while retaining the ability to respond effectively to unexpected developments. 1.2 Perform high quality, independent and 2.2 Maintain high standards of integrity, 3.2 Further foster global support for the impartial preliminary examinations. professionalism and respect for Court by strengthening the diversity. understanding, trust and commitment of States, international and regional organizations, NGOs and other key partners and stakeholders. 1.3 Perform impartial, in-depth, open-ended investigations and objective, efficient and well-founded prosecutions, supported by effective international cooperation 2.3 Provide adequate human resources to deliver the Court's mandate and ensure equitable geographical representation and fair gender balance. 3.3 Encourage full and timely cooperation by States in accordance with their obligations under the Rome Statute, including compliance with Court orders such as warrants of arrest, and identification, tracing, and freezing of assets. 3.4 Encourage States to conclude further voluntary agreements with the Court on enforcement of sentences, relocation of witnesses and interim and other forms of release. 1.4 Guarantee the rights of the defence to a fair and impartial trial. 2.4 Provide and maintain a healthy, motivating, sustainable and caring environment for staff and others participating in the Court's work and strive to offer career development and mobility opportunities. 2.5 Ensure adequate and effective technological support for judicial and administrative activities. 1.5 Ensure adequate and meaningful participation and representation of victims. 3.5 With States Parties, intergovernmental and nongovernmental organizations, encourage and support further accessions to the Rome Statute and the Agreement on the Privileges and Immunities of the Court with the ultimate goal of universality. 3.6 With States Parties and other stakeholders such as intergovernmental and non-governmental organizations, encourage and facilitate the development of national capacities to achieve the goals of the Rome Statute. 1.6 Ensure meaningful reparations and a successful implementation of reparation orders including coherent principles for victim reparations. 2.6 Further develop the Court's processes for planning and budgeting strategically, including efficient management of performance and risks. 1.7 Increase awareness of, communication 2.7 Ensure an efficient, timely and with, and understanding amongst cost-effective transition to the victims and affected communities, in permanent premises, followed by line with the stages of the making full, innovative use of their proceedings, of the Court and its new potential. processes generally. 2.8 Ensure adequate security and protection for staff and other persons at risk on account of their interaction with the Court, as well as for information and other assets. 10-E-170816 173 ICC-ASP/15/10 Annex V (b) List of strategic goals of the OTP Strategic Plan (2016-2018) 1. Achieving high performance in relation to the Office's mandate (a) (b) Strategic goal 1: conduct impartial, independent, high quality preliminary examinations, investigations and prosecutions; Strategic goal 2: continue to integrate a gender perspective in all areas of the Office's work and to implement the policies in relation to sexual and gender-based crimes (SGBC) and crimes against children; Strategic goal 3: further improve the quality and efficiency of preliminary examinations, investigations and prosecutions; and Strategic goal 4: further adapt the Office's investigative and prosecutorial capabilities and network to the complex and evolving scientific and technological environment. (c) (d) 2. Creating the necessary conditions to fulfil the Office's mandate (a) Strategic goal 5: achieve a basic size which can respond to the demands placed upon the Office so that it may perform its functions with the required quality, effectiveness and efficiency; Strategic goal 6: contribute to strengthening cooperation, and promoting general support towards the mandate and activities of the Office; Strategic goal 7: adapt the Office's protection strategies to the new security challenges; and Strategic goal 8: ensure a professional, accountable, transparent and efficient management of the Office. (b) (c) (d) 3. Contributing to a coordinated investigative and prosecutorial strategy to further close the impunity gap for ICC crimes (a) Strategic goal 9: develop with partners a coordinated investigative and prosecutorial strategy to close 174 10-E-170816 ICC-ASP/15/10 Annex V (c) OTP Objectives, performance indicators and targets 2017 Strategic goal 1. Conduct impartial, independent, 1. high quality preliminary examinations, investigations and prosecutions Objective 2017 To produce the yearly defined level of activities in the light of the allocated budget 1. 2. Performance indicator Milestones per core activity: planned versus actual Pattern of judicial findings on how preliminary examinations, investigations and prosecutions are conducted Compliance with OTP policies and standards Quality of interaction with the OTP Lessons learnt implemented Prosecutorial results in terms of perpetrators Arrest warrants/summonses to appear granted/requested: (a) Persons confirmed / charged (b)Persons convicted / charged Counts granted / counts charged at stage of arrest warrant, confirmation, trial. Milestones: planned versus actual Impact of improvement projects on effectiveness, operational and management excellence 3. 4. 5. 6. 7. 2. Continue to integrate a gender 1. perspective in all areas of the Office's work and implement 2. policies in relation to SGBC and crimes against children 3. 3. Further improve the quality and efficiency of the preliminary examinations, investigations and prosecutions Specialized training provided for relevant 8. staff on interviewing vulnerable witnesses 9. Sexual and Gender Based Crimes Policy effectively implemented in the investigative and prosecutorial activities of the Office The Children's Policy and implementation plan adopted Preliminary examination 10. Milestones: planned versus actual 1. Define the possibilities to further integrate 11. Impact of improvement projects on investigative needs and start-up in the effectiveness, operational and preliminary examination phase management excellence 2. Further increase communication in relation to preliminary examinations 3. Further develop the early response function to upsurges or serious risks of violence Investigations 1. Implement selected improvement projects related to priority areas: closing time gap, forensics and technology, analysis, standards, financial investigations and field presence Prosecutions and appeals 1. Implement the selected improvement projects related to the priority areas: internal processes, management capabilities, case design, case review process, technology, key competences Cooperation 1. Assessment of the quality of the internal cooperation dimension done and the selected improvement projects implemented 10-E-170816 175 ICC-ASP/15/10 Strategic goal 4. Further adapt the Office's investigative and prosecutorial capabilities and network to the complex and evolving scientific and technological environment Achieve a basic size which can respond to demands placed upon the Office with the required quality, effectiveness and efficiency 1. Objective 2017 All relevant staff trained in the basics of online investigations and handling of electronic evidence Capability to use technology to present evidence in court strengthened To implement the approved resource evolution and adapt the output accordingly To present the impact of the identified efficiency gains on the budget proposal for 2017 To review the continuum of services and the possible synergies and efficiencies between the Registry and OTP Performance indicator 12. Milestones: planned versus actual 13. Impact of improvement projects on effectiveness, operational and management excellence 14. Milestones: planned versus actual 15. Impact of improvement projects on effectiveness, operational and management excellence 16. Yearly achieved efficiency gains 2. 1. 5. 2. 3. 6. Contribute to strengthening cooperation and promoting general support towards the mandate and activities of the Office 1. 2. 3. 1. Cooperation plans for critical support to 17. Milestones: planned versus actual investigations implemented as planned 18. Impact of improvement projects on Expansion of network of operational focal effectiveness, operational and points towards three partners management excellence Communication to stakeholders implemented as planned Establish a partnership with two key partners in relation to cyber and information security Establish a coordinated security-related intelligence cycle with partners within and outside the Court Update of the field craft requirements finalized Review of existing protocols with the security entities within Registry Improved gender and nationality balance All training and performance appraisals implemented Values embedment program implemented Working climate recommendation implemented Occupational hazard review performed Review of information management strategy and structure Systems for performance indicators, risk management and lessons learnt established 19. Milestones: planned versus actual 20. Impact of improvement projects on effectiveness, operational and management excellence 7. Adapt the Office's protection strategies to the new security challenges 2. 3. 4. 8. Ensure a professional, accountable, transparent and efficient management of the Office 1. 2. 3. 4. 5. 6. 7. 21. Evolution of the overall gender and nationality balance per year 22. Implementation of training program per year: planned versus actual 23. Working climate survey (incl. values) 24. " " 25. Evolution of fitness for work 26. Impact of improvement projects on effectiveness, operational and management excellence 27. " " 28. Yearly implementation rate of the budget 29. Implementation rate of measures to control priority risks out of the OTP risk register 30. Milestones: planned versus actual 31. Impact of improvement projects on effectiveness, operational and management excellence 9. Develop with partners a coordinated investigative and prosecutorial strategy 1. Consultations on the content, conditions and implications of a coordinated investigative and prosecutorial strategy assessed and OTP's contribution identified 176 10-E-170816 ICC-ASP/15/10 Annex V (d) Judiciary Strategic Goals Expected results, performance descriptions and targets 2017 Expected results Objectives 1-3 (POs 1.1.1, 1.1.2, and 2.6.3) 1. Provide effective Presidency planning and support for the efficient management of judicial proceedings 2. Fair and expeditious conduct of pre-trial, trial and appellate processes, with full respect for the rights of the accused and due regard for the protection of victims and witnesses 3. Continue the "lessons learnt" review of judicial processes, consulting stakeholders as appropriate, with emphasis on changes not requiring amendments to the Rules of Procedure and Evidence 4. Develop appropriate performance indicators for judicial processes and relevant judicial support Performance descriptions Potential issues identified and effectively managed Quality of preparation and support for Presidency and Judges' meetings Efficient management of applications/filings before the Presidency Timeliness and quality of advice to the President and Vice-Presidents on administrative and managerial issues Time lines between phases of proceedings shortened, without prejudice to the rights of the parties, participants and victims to fairness and protection as the case may be Full use of the new facilities in the permanent premises, especially the increased availability of courtrooms Continued harmonization of Chambers' practice New performance indicators implemented for both Court-wide and Judiciary purposes Whenever relevant Target 2017 100% Fully satisfactory All decisions issued within agreed timeline Fully satisfactory Measurably by comparison with earlier cases 100% By end of 2017 By end of 2017 Objective 4 (PO 2.7.2) Appropriate advice from Registry; awareness reflected in 1. Chambers fully aware of financial impacts relevant decisions, without prejudice to judicial independence during deliberations and when taking decisions Objective 5 (POs 2.1.2 and 2..5.1) 1. Effective resource management including identification and implementation of possible further efficiency measures 2. Efficient use of Chambers staff resources through central management and flexible deployment to meet changing case workload needs Objective 6 (PO 1.5.1) 1. Development of a more consistent approach to handling of victim applications for participation in the proceedings Objective 7 (PO 2.3.1) 1. Further improve management of staff performance Objective 8 (PO 3.1.1) 1. Transparent and effective communication and information exchange between Judiciary and Working Groups of the Assembly Objective 9 (POs 3.1.1, 3.2.1, 3.2.2, 3.5.1, 3.5.2 and 3.6.2) 1. Strengthened trust, commitment and support among the Court's external stakeholders through information-sharing at meetings, conferences etc. 2. Further accessions to/ratifications of the Rome Statute and the Agreement on Privileges and Immunities (APIC) and enhanced communication and cooperation of Impact/effectiveness of Chambers staffing changes introduced by 2017 Budget Improvements in timeliness of judicial proceedings through implementation of "lessons learnt" changes Number of areas where further efficiencies can be achieved Effective central management by new P-5 Head of Chambers Applying effectively the new victim application system adopted in February 2016 as part of the "Chambers Practice Manual". Full MP1 compliance with the Court's performance appraisal system, including appropriate input from line managers and judges Number of HWG/SGG meetings attended by a Presidency/Court representative as appropriate Provision of requested reports and information in a timely and transparent manner Number of high-level meetings held with States, international organizations and civil society by the President/Presidency Presidency participation in ASP, HWG, SGG and CBF meetings, diplomatic and NGO briefings etc. Transmit and pursue all requests by the Court for cooperation with relevant interlocutors at the UN until completion of requests 100% Measurable improvements 1 100% By mid-2017 100% Representation at every meeting 100% 100 Whenever desirable 1 new accession to Rome Statute and 1 to APIC 1 Organize/provide briefings for States and other stakeholders in 100% New York 10 10-E-170816 177 ICC-ASP/15/10 Expected results non-States Parties with the Court 3. Conclusion of further sentence enforcement agreements with States 4. (NYLO) Effective communication and cooperation with the United Nations and its agencies, with national delegations (both States Parties and non-States Parties) and civil society representatives in New York; and provision of logistical support to the Assembly and its subsidiary bodies Performance descriptions Provide support to visiting Court officials Monitor and participate in relevant UN meetings, follow up issues bilaterally and provide regular reports for the Court Provide input for UN reports and resolutions on Court-related subjects and provide support to the facilitator of the annual ICC Resolution in the UN General Assembly. Participate and intervene in seminars and workshops on Court-related subjects Provide logistical support to the Assembly, the Bureau and the New York Working Group and represent the Court at meetings of the Bureau and the New York Working Group. Target 2017 all visits bi-weekly and ad hoc reports as needed 5-8 resolutions 4 seminars/ workshops 15-20 meetings Annex V (e) Major Programme II Sub-Programme 2110: Expected results, performance indicators and targets 2017 Strategic Goal Judicial and Prosecutorial 1.2 OTP Strategic Goal 1 Conduct impartial, independent, high-quality preliminary examinations, investigations and prosecutions Judicial and Prosecutorial 1.2 OTP Strategic Goal 2 Continue to integrate a gender perspective into all areas of the Office's work and to implement the policies in relation to sexual and gender-based crimes (SGBC) and crimes against children Judicial and Prosecutorial 1.2 OTP Strategic Goal 3 Further improve the quality of the preliminary examinations, investigations and prosecutions Cooperation and Support 3.2, 3.3 OTP Strategic Goal 6 Contribute to strengthening cooperation, and promoting general support for the mandate and activities of the Office Support the Prosecutor's missions, conduct interviews, prepare opinion pieces, press releases, statements, etc. Further development of academic network, including through the organization of guest lectures Contribution to public information and external representation of the Office Further development and management of the Legal Tools Project Managerial Objectives 2.1, 2.2, Provision of legal advice and drafting 2.3 and 2.4 with regard to individual administrative matters Expected Results Contributions to legal research and advice to the Office as required, in respect of situations and cases Explain and raise awareness of the activities of the Office through public information Development of the Implementation Plan for Sexual and Gender-Based Crimes Policy Performance Indicators Performance Indicator 7: Productivity of the Office Milestones: planned versus actual ExCom frequency and decisions Target 2017 Provide legal research and advice as requested Conduct interviews, prepare opinion pieces, press releases, statements, etc. Performance Indicator 4: Compliance with key Office policies and Development of the Policy on Children standards Milestones: and Implementation Plan implemented versus Raise public awareness on SGBC planned through public information SGBC Implementation Plan finalized for implementation by teams Policy on Children adopted Draft Implementation Plan For Policy on Children Performance Indicator 7: Productivity of the Office Milestones: planned versus actual Performance Indicator 5: Quality of interaction with the Office Milestones: planned versus actual Provide legal research and advice as requested Explain, raise awareness and build support and cooperation for the activities of the Office through missions undertaken by the Prosecutor, and public information Communication to stakeholders implemented as planned Performance Indicator Minimize litigation and 14: ensure satisfactory outcomes Impact of improvement whenever litigation is 10-E-170816 178 ICC-ASP/15/10 Strategic Goal OTP Strategic Goal 8 Ensure professional, transparent, accountable and efficient management of the Office Expected Results Development of the Office's internal regulatory framework Contribution to development of the Court's internal regulatory framework Development of strategic policies for the Office Implementation of the Lessons Learnt Project Development of assurance system to monitor compliance In liaison with HR, delivery of the annual OTP training plan for staff Liaising with HRS, finalize policies with respect to teleworking and other policies relating to staff Improved gender and nationality balance in the OTP workforce Key working climate issues within OTP's control addressed Office's core values project finalized and implemented OTP internal structure reviewed in order to increase effectiveness and efficiency and ensure enhanced quality assurance Performance Indicators projects on effectiveness, operational and management excellence Provision of legal advice and drafting with regard to individual administrative matters Development of the Office's internal regulatory framework Contribution to development of the Court's internal regulatory framework Development of strategic policies for the Office Implementation of the Lessons Learnt Project Target 2017 inevitable Operations Manual reviewed and updates prepared as and when needed Timely contributions provided Satisfactory representation of Office views and interests Implementation plan for Sexual and Gender-Based Crimes Policy adopted Policy on Crimes against Children adopted Project implemented, electronic system operational, and Lessons Learnt incorporated into general Office practice Framework for OTP assurance system defined and being implemented Sub-Programme 2120: Expected results, performance indicators and targets 2017 Strategic Goal Managerial Objectives 2.1, 2.4 and 2.6 OTP Strategic Goal 8 Ensure professional, transparent, accountable and efficient management of the Office Expected Results Maximize efficient budget implementation rate Maximize efficient Contingency Fund implementation rate Maintain effective reconciliations process (percentage and time) Update procedures/processes Timely and efficient provision of services to the OTP (variance compared to expected time and effort foreseen in the agreed processes and procedures) Timely completion of performance appraisal cycles Performance Indicators Performance Indicator 7: Productivity of the Office Performance Indicator 8: Staff development Performance Indicator 12: Financial planning, performance and compliance Milestones: planned versus actual Target 2017 95%70% Travel claims 95% within 60 days Field Office expenses 100% within 60 days Complete the analysis of the Section's procedures (KBU and IEU), work flows and processes with the assistance of OIA Complete the review of the organization of the Units to ensure structures are capable of providing services to the OTP in a timely and efficient manner (minimize variances: < 5%) Develop e-learning platform for delivery of internal training Develop specs (project to be done in coordination with Registry and Chambers) to implement/configure SAP tools that can lead to proper accounting of cost per case Develop electronic questionnaire to assess client satisfaction and identify areas for process improvement 100% of PAF completed on time 95% or more of the evidence registered within two days (non-electronic) or three days (electronic) Disclosure errors < 3% Managerial Objective 2.3 OTP Strategic Goal 3 Further improve the Provide effective and timely support for evidence registration Provide effective and timely support for disclosure Performance Indicator 7: Productivity of the Office 10-E-170816 179 ICC-ASP/15/10 Strategic Goal quality of preliminary examinations, investigations and prosecutions Expected Results Provide effective and timely guidance for information management projects across the Office Provide effective and timely guidance for data management across the Office Provide effective and timely language support to Integrated Teams in field missions Provide effective and timely language support to Integrated Teams for transcription and translation of evidence and documents relevant to the Office's operations and activities Performance Indicators Performance Indicator 14: Impact of improvement projects on effectiveness, operational and management excellence Milestones: planned versus actual Target 2017 Upgrade the procedures in the affected units following the replacement of obsolete equipment and quantify efficiencies achieved and achievable Develop and maintain an inventory of applications, licenses and systems used and needed by the Office Develop and maintain an inventory of equipment used by the Office (e.g.: Integrated Teams on mission) Language support provided as per agreed schedule 98% of time Programme 2200: Expected results, performance indicators and targets 2017 Strategic Goal Judicial and Prosecutorial Objective 1.2 OTP Strategic Goal 1 Conduct impartial, independent, high-quality preliminary examinations, investigations and prosecutions Judicial and Prosecutorial Objectives 1.2, 1.3 OTP Strategic Goal 3 Further improve the quality of preliminary examinations, investigations and prosecutions Expected Results Conduct nine preliminary examinations Performance Indicators Performance Indicator 7: Productivity of the Office Closure ratio (number of completed vs. newly-opened PEs) Target 2017 Number of Preliminary Examinations: 9 Preliminary examination Cooperation Define and conduct internal cooperation training programs and experience sharing exercises Ensure coordination and rolling assessment of the quality of internal cooperation and of the selected improvement projects implemented Performance Indicator 7: Productivity of the Office Preliminary examination Timely processing of article 15 communications and Milestones: planned submission of at least one versus actual report to ExCom for approval Impact of improvement of recommendation with projects on effectiveness, regard to all pending Phase 1 operational and reports management excellence Publication of one OTP report Rate of successful article on PE activities prior to ASP 15 applications and other public reports in Processing rate of article support of key decisions 15 communications Cooperation (including responses to 90% of relevant staff trained senders) 75% of the training program Compliance with transparency commitment conducted (PE report and other public Improvement projects defined and assessment mechanism in reports in support of key place with regular review of decisions) quality ongoing Performance Indicator 7: Productivity of the Office Milestones: planned versus actual Annual cooperation and external relations plan drafted, circulated and approved, and steps defined for the relevant period implemented 100% cooperation plans drafted and implementation ongoing with the steps planned for the period of reference implemented Network expanded to more Cooperation and Support Objectives 3.2, 3.3, 3.4, 3.6 OTP Strategic Goal 6 Contribute to strengthening of cooperation and promoting general support for the mandate and activities of the Office Annual cooperation and external relations strategic objective defined and implemented Cooperation plans for critical support to the investigations drafted and implemented as planned Expansion of network of operational focal points to three partners Ensure relative stability or improvement of the response rate for requests for assistance (RFAs) bearing in 180 10-E-170816 ICC-ASP/15/10 Strategic Goal Expected Results mind the relative variety/sensitivity of the requests and the weight of external factors beyond OTP control Ensure quality of judicial assistance requests to States and international organizations to enable effective investigations and prosecutions Make available relevant cooperation channels to ensure range of judicial assistance measures requested is in line with the diversification of evidence types Ensure proper communication to stakeholders implemented as planned Performance Indicators Target 2017 than 3 partners More than 75% of RFAs responded to About 95% of the requests drafted reviewed and checked for quality control Support to diversified types of assistance requested implemented Communication to stakeholders implemented as planned Cooperation and Support Objectives 3.2, 3.3, 3.4, 3.6 OTP Strategic Goal 9 Develop and manage, together with ID, a coordinated investigative and prosecutorial strategy to further close the impunity gap for ICC crimes Take into account, as appropriate, a positive complementarity approach to the cooperation plans in support of the Office's investigations Consolidate and further expand the Office's network of general and operational focal points and judicial actors, and streamline and standardize processes and interactions with partners (States, international and regional organizations, NGOs) Together with other divisions, contribute to implementation of further consultations on the content, conditions and implications of a coordinated investigative and prosecutorial strategy, assess findings and identify the Office's contribution Ensure high ratio of responses to incoming requests for assistance Performance Indicator 14.1: Evaluation of improvement projects Milestones: planned versus actual Implemented when appropriate in all recent investigations General strategy developed and consultation sessions implemented in relation to two ongoing investigations Responses sent for almost all requests and consultations ongoing on others Programme 2300 : Expected results, performance indicators and targets 2017 Strategic Goal Judicial and Prosecutorial Objective 1.2 OTP Strategic Goal 1 Conduct impartial, independent, high-quality preliminary examinations, investigations and prosecutions Judicial and Prosecutorial Objective 1.2, 1.3 OTP Strategic Goal 2 Continue to integrate a gender perspective in all areas of work and implement the policies in relation to SGBC and crimes against children Expected Results Conduct six investigations, investigative support to three trials and preserve nine investigations pending an arrest Performance Indicators Target 2017 Performance Indicator Number of Investigative 7: Productivity of the activities: 6 + 3 + 9 Office 80% or more of the Milestones: planned investigative steps within ID control on track versus actual Performance Indicator 4: Compliance with key Office policies and standards Milestones: implemented versus planned Performance Indicator 80% or more of relevant staff 8: Staff performance trained and development Milestones: planned versus actual 80% or more of the measures foreseen in the policies implemented across all active investigations (Investigative) policy in relation to sexual and gender-based crimes and crimes against children implemented in all active investigations Roll-out of the Policy on Children Judicial and Prosecutorial Objective Training program implemented 1.2 as planned OTP Strategic Goal 3 Further improve the quality of preliminary examinations, investigations and prosecutions 10-E-170816 181 ICC-ASP/15/10 Strategic Goal Managerial Objective 2.5 OTP Strategic Goal 4 Further adapt the Office's investigative and prosecutorial capabilities and network to the scientific and technological environment in which it operates Managerial Objective 2.8 OTP Strategic Goal 7 Adapt the Office's protection strategies to new security challenges Expected Results Scientific and technological projects to increase the ability of the OTP to securely and efficiently perform its investigations implemented as planned (e.g.: automated searches, Internet archive) All foreseeable risks properly managed Yearly strategic security risk assessment and strategy updated for staff, witness and information security performed as planned Project to improve information security with Registry implemented as planned Performance Indicators Target 2017 Performance Indicator 80% or more implemented as 14.1: Evaluation of planned improvement projects Milestones: planned versus actual Performance Indicator All critical protection measures 13: Risk management required to manage the foreseeable risks implemented Compliance with as planned standards (positive All main recommendations conclusion of approved by ExCom assurance report) 80% or more implemented as Recommendations planned accepted vs made Milestones: planned versus actual Performance Indicator 1% efficiency gain 6: yearly efficiency gains Total efficiency gains vs. total ID budget Managerial Objectives 2.1, 2.2, 2.3 and 2.4 OTP Strategic Goal 8 Ensure professional, transparent and efficient management of the Office Cooperation and Support Objective 3.3 OTP Strategic Goal 9 Close the impunity gap through coordinated investigative and prosecutorial strategy Efficiency gains through process review identified and achieved Priority projects implemented as planned (e.g.: increase in the exchange of information with WCU; increase in the number of coordinated activities with relevant jurisdictions) Performance Indicator 80% or more 14.1: Evaluation of improvement projects Milestones: planned versus actual Programme 2400: Expected results, performance indicators and targets 2017 Strategic Goal Judicial and Prosecutorial Objective 1.3 OTP Strategic Goal 1 Conduct impartial, independent, high-quality preliminary examinations, investigations and prosecutions Judicial and Prosecutorial Objectives 1.2, 1.3 OTP Strategic Goal 2 Continue to integrate a gender perspective into all areas of work and implement the policies in relation to SGBC and crimes against children Expected Results Be ready to litigate three trials (actual number depending on the availability of courtrooms and judges), two final appeals, and conduct pre-trial activities in six investigations Performance Indicators Performance Indicator 1: Prosecutorial results in terms of perpetrators Performance Indicator 2: Prosecutorial results in terms of charges Performance Indicator 7: Productivity of the Office Target 2017 Activities: 3 trials, 2 final appeals, and pre-trial support in 6 investigations Integrate SGBC and crimes against children charges in prosecution of cases, wherever applicable, implementing the guidelines contained in the relevant OTP policies Performance Indicator 1: Prosecutorial results in terms of perpetrators Performance Indicator 2: Prosecutorial results in terms of charges Performance Indicator 3: Quality of mandated activities Performance Indicator 4: Compliance with key Office policies and standards 80% or more of the measures foreseen in the policies implemented across all prosecutorial activities 182 10-E-170816 ICC-ASP/15/10 Strategic Goal Judicial and Prosecutorial Objective 1.3 OTP Strategic Goal 3 Further improve the quality of the preliminary examinations, investigations and prosecutions Expected Results Maintain or improve success rate of confirmation of charges Maintain or improve success rate of acceptance of submission Have independent reviews performed for each case Have evidence reviews performed for each case Performance Indicators Performance Indicator 1: Prosecutorial results in terms of perpetrators Performance Indicator 2: Prosecutorial results in terms of charges Performance Indicator 4: Compliance with key Office policies and standards Milestones: planned versus actual Target 2017 Charges confirmed vs. charges issued/granted/convicted 80%. Submissions accepted and requests granted vs. number of requests >80% 100% of cases reviewed by independent panel 100% of evidence reviewed Managerial Objective 2.5 OTP Strategic Goal 4 Further adapt the Office's investigative and prosecutorial capabilities and network to the scientific and technological environment in which it operates Managerial Objectives 2.1, 2.2, 2.3 and 2.4 OTP Strategic Goal 8 Ensure professional, transparent and efficient management of the Office Revise training programme for prosecutors defined in annual Training Plan including additional advocacy skills training sessions and training on the use of new technologies in the courtroom Implement the selected improvement projects related to the priority areas: internal processes, management capabilities, case design, case review process, technology, key competences Priority areas for efficiency gains identified; potential gains identified; contribution to office-wide efficiency improvement initiatives Performance Indicator 14.1: Evaluation of improvement projects Performance Indicator 8.2: Implementation of annual training plan/number of training days per staff member per year 80% or more implemented as planned Performance Indicator 6: yearly efficiency gains Total potential efficiency gains vs. total PD budget Priority areas and potential for efficiency gains identified; potential gains identified Contribution to office-wide efficiency improvement initiatives Annex V (f) Registry Strategic Goals A. Office of the Registrar 2.1.1 Re-examine and adapt the structure, staffing and resources of the Court in the light of practical experience, promoting efficiency and effectiveness while ensuring the capacity to deliver on the Organ's respective mandates and responsibilities. 2.1.2 Effective resource management and identification and implementation of possible further efficiency measures. In particular focus on field activities with a view to promoting better coordination and achieving higher impact of the Court's work in situation countries. 2.1.3 Strengthen the Registry's management architecture. OTR: Expected results, performance indicators and targets 2017 Expected results Objective 2.1.1 1. Fully implement the structure of the Registry. Finalization of recruitment. Reduction of vacancy rate from 12% to 10% by June 2017. Performance indicators Target 2017 10-E-170816 183 ICC-ASP/15/10 Expected results Objective 2.1.2 2. Establish field presence in Tbilisi, Georgia. Objective 2.1.3 Performance indicators Target 2017 Cooperation with authorities in Georgia. Full set-up of an adequate field presence. 1. Enhance accountability through Frequency of meetings of Registry chiefs Weekly meetings. empowerment and delegation of authority and directors. to divisions and sections. B. Division of Management Services 2.3.1 Further improve the management of staff performance. 2.3.2 Further improve the gender balance and geographical representation through the different levels of the Court's structure 2.4.1 Improve working environment 2.4.2 Develop a strategic approach to staff development (including staff mobility). 2.5.3 Improve efficiency through technological developments. 2.6.1 Further improvement of Court's budget process, including further dialogue with States Parties on the Court's budget process 2.6.2 Refine the Court's risk management framework 2.6.3 Improve the performance measurement and evaluation of the Court 2.7.2 Make best use of the new premises to provide for the business needs of the Court. Maximise the flexibility of their design to allow for expansion with minimum disruption and cost. 2.8.3 Management of security and safety risks through a risk management process. DMS: Expected results, performance indicators and targets 2017 Expected results Priority Objective 2.3.1 Improve the Court-wide human resources performance management system. Development of a strategy and improved compliance. HR strategy related to performance management developed and improved court-wide compliance rate. Performance indicators Target 2017 Priority Objective 2.3.2 Increased participation of women in recruitment through gender-neutral vacancy announcement and through increased inclusion in selection rounds. Priority Objective 2.4.1 Prepare and issue priority policies crucial for ensuring a proper regulatory framework on key HR issues: Provisional and amended Staff Rules, Staff Selection, and Special Leave. Improved outreach to and recruitment from non and underrepresented countries. Priority Objective 2.4.2 Coordinate (non-technical) training initiatives for the # of non-technical training programmes benefit of staff throughout the Court. centralized in HRS. 5 # of key policies promulgated. 3 # of statistical reports on gender balance issued. 2 # of targeted outreach initiatives. Two targeted campaigns. 184 10-E-170816 ICC-ASP/15/10 Expected results Priority Objective 2.5.3 Improved SAP capability to deal with increased workloads with regards to business processes, especially human resources and budget related. Alignment of SAP to the changes necessary for implementation of the new UN common system compensation package. Priority Objective 2.6.1 Automation of budgetary and forecasting processes. Further develop dedicated systems for performance reporting, regular income and expenditure forecasting, cash flow analysis and ad hoc reporting. Transition to the new UN common system compensation scheme. Priority Objective 2.6.2 Further implementation of high-level risk management system. Priority Objective 2.6.3 Operationalization of IPSAS compliant policies. Priority Objective 2.7.2 To place a medium-term contract for preventive and corrective maintenance for the Permanent Premises. Priority Objective 2.8.3 Security risk assessment updated and measures reviewed yearly or when required. Completion of UN MOSS self-assessment for all field offices and update ICC-specific SRA. Replacement of all obsolete vehicles in the field over a 5 year period. Performance indicators Target 2017 Number of business processes reviewed and improved through increased SAP capability. Percentage of entitlements aligned with new compensation package. 5 100% % of reduction in manual processing time. # of significant adverse audit observations relating to financial management and control. % of compliance of the Court with the new scheme 50% None. 100% compliance where applicable to the Court. # of risks in the risk register reviewed and reassessed. 100% # of automated IPSAS compliant reports developed. 3 % of procurement exercise to select company for preventive and corrective maintenance. 100%. Security risk assessment reviewed and updated. % of self-assessment carried out and % of compliance with local standards. Number of vehicles replaced. Court-wide review conducted. 100% 20% C. Division of Judicial Services 1.4.1 Implement the revised legal aid system and continuously monitor its adequacy and cost-effectiveness in a manner consistent with judicial decisions and the rights of the defence (SG 1.4). 1.6 Ensure meaningful reparations and a successful implementation of reparation orders including coherent principles for victim reparations. 1.6.1 Apply and refine principles of victims' reparations established through the first proceedings of the ICC. 1.6.2 Develop coordination mechanisms with the TFV for the implementation of the judicial decisions in relation to reparation. 2.1.1 Re-examine and adapt the structure, staffing and resources of the Court in the light of practical experience, promoting efficiency while ensuring the capacity to deliver on the Organs' respective mandates and responsibilities. 2.1.5 Improve judicial services performance. 2.5.2 Review use of standard processes, methods and technologies, in particular in relation to the Court's security requirements and appetite. 2.5.3 Improve efficiency through technological developments. 10-E-170816 185 ICC-ASP/15/10 DJS: Expected results, performance indicators and targets for 2017 Expected Results Priority Objective 1.4.1 Implement the revised legal aid system and continuously monitor its adequacy and cost-effectiveness in a manner consistent with judicial decisions and the rights of the defence Performance Indicator Achieve adequate and sustainable representation of indigent defendants in a manner that is economically efficient for the Court Target 2017 Registry continues to monitor the legal aid system and duly inform the Defence teams of any changes in the payment of legal aid Registry considers amendments to the legal aid system Registry proposes more innovative and suitable solutions based on the nature of the cases Priority Objective 1.6 Ensure meaningful reparations and a successful implementation of reparation orders including coherent principles for victim reparations Registry facilitation of the victims' reparations process for as many qualifying victims as possible Registry neutral reporting and service provision to Chambers on issues linked to reparations Coordination by the Registry the implementation of reparation procedures with various interlocutors (TFV, LRV, OPCV, Chambers) Representation of victims interests in reparation proceedings Implement Business Intelligence for collecting victims applications Registry cooperates fully with the TFV and the LRV in order to ensure that potential qualifying victims are identified Registry organises victim consultations on common legal representation for reparations proceedings Registry files quality and timely reports on issues linked to reparations Victims are regularly informed OPCV acting as an independent office provides in-house legal representation of victims in reparation proceedings when appointed as legal representative Registry provides optimized support and assistance to external legal representatives of victims and the Trust Fund for Victims in reparation proceedings The Registry to continue improving VAMS system to reduce duplication of work with victims applications Priority Objective 1.6.1 Apply and refine principles of victims' reparations established through the first proceedings of the ICC Priority Objective 1.6.2 Develop coordination mechanisms with the TFV for the implementation of the judicial decisions in relation to reparation Compliance with article 75(1) of the Statute through judicial clarification of principles relating to reparations Establishment of coordination regime between the Court and the TFV with regard to decisions pursuant to article 75 of the Statute In the light of judicial decisions in the Katanga and Lubanga cases, establish a framework for the Registry's work on reparations and begin implementation, taking account of the separate roles and responsibilities of the TFV and Registry Maintain delivery of detention services in light of the decrease of ICTY and potential closure of the current facility by the Host State Detention Center is provided with additional staff to continue performing its duties Develop partnership with the Host State Upgrade the technological system used in the ICC Detention Center to monitor the detained persons Optimize courtroom services Provide cost effective trainings to promote the use of Ecourt and proper information management Implement more sustainable storage by purchasing hardware and software required for use of daily court operations Full cooperation between the TFV and the Registry on reparation matters Enhance client satisfaction Provide timely and quality information to Chambers whenever required Priority Objective 2.1.1. Re-examine and adapt the structure, staffing and resources of the Court in the light of practical experience, promoting efficiency while ensuring the capacity to deliver on the Organs' respective mandates and responsibilities Priority Objective 2.1.5 Improve judicial services performance 186 10-E-170816 ICC-ASP/15/10 Expected Results Priority Objective 2.5.2 Review use of standard processes, methods and technologies, in particular in relation to the Court's security requirements and appetite Performance Indicator Ensure that appropriate tools are in place and up-to-date to mitigate any risk of unauthorized data disclosure Target 2017 Implement Phase 2 of Threat Vulnerability Detection and monitoring Provide secure communication through encryption Implementation of VAMS system in the field for victims application Provide trainings to staff on the safe use of the mobile systems Priority Objective 2.5.3 Improve efficiency through technological developments Ensure integrated approach in the process of managing information Implement Information Management Governance Board (IMGB) Monitor and supervise the services being Implement IMSS service catalogue provided by the Sections to our clients and Implement a global solution change encourage the Sections to understand their requests system for the Court needs, monitor developments in the clients' environments, and be able to adapt swiftly to changes so as to protect and serve their interests. D. Division of External Operations 1.7.1 Conduct effective outreach to and communication with victims and affected communities in accordance with the Court's relevant strategic documents (SG 1.7). 2.1.2 Effective resource management and identification and implementation of possible further efficiency measures (SG 2.1). 2.8.3 Management of security and safety risks through a risk management process (SG 2.8). 3.3.2 Engage in constructive discussions with States to overcome obstacles and to promote best practices, such as consulting promptly with the Court in order to resolve any matter that has impeded or prevented the execution of requests (SG 3.3). 3.4.3 Explore partnerships to assist States to conclude agreements of key importance to the Court (SG 3.4). 3.4.4 Increase external and internal level of cooperation in relation to witness protection (SG 3.4). DEO: Expected results, performance indicators and targets 2017 Expected Results Priority Objective 1.7.1 Conduct effective outreach to and communication with victims and affected communities in accordance with the Court's relevant strategic documents Performance Indicators Target 2017 Volume and inclination of Raise the profile of the ICC positively to a broader audience than feedback provided via traditional and the usual ICC public social media platforms Improve the perception of the Court's work Number of likes, retweets, hits, Greater use of social media to directly disseminate accurate and etc. on social media sites timely information pertaining to the activities of the court. Number of radio broadcasts in concerned countries is the same or increased compared to 2016 Best practices of outreach methods are implemented successfully, leading to improved communications with external and internal stakeholders; Same or increased capacity amongst the local populations to follow judicial developments of relevant cases in offices with Registry field presence ; Increased understanding of the Court's mandate and proceedings amongst victims and affected communities. Liaise with the other two Divisions in better forecasting budget and determination of financial and staff resources required Decentralisation of activities from Headquarters to the field offices to achieve efficiencies and greater coordination; Higher percentage of questions showing that the level of understanding of participants in outreach sessions has become more sophisticated than in 2016 Accuracy of budget forecasting; Effectiveness of coordination between Headquarters and the field offices. Priority Objective 2.1.2 Effective resource management and 10-E-170816 187 ICC-ASP/15/10 Expected Results identification and implementation of possible further efficiency measures. Performance Indicators Number of bi-weekly meetings held between the HQ and the field offices, and the number of standing issues resolved. Quality and usefulness of the manual for field offices. All budgeted staff recruited during first quarter of 2017. Frequency at which other organs are invited to relevant activities led by the Division. Number of synergies identified and implemented. Target 2017 Bi-weekly meetings between the HQ and the Field Offices to ensure the sharing of information and efficient decision making; Creation of a manual for the Field Offices for efficient and effective work process; Re-establish the mission planning SOP to achieve the efficiency and cost saving. Recruit personnel to ensure that the activities of the division are efficiently carried out; Activities of the Division are implemented in partnership with the other parts of the Court, whenever feasible, with a particular interest in identifying synergies. Priority Objective 2.8.3 Management of security and safety risks through a risk management process. Completion of annual review by the end of each year. Avoid incidents and if incidents occur, 100% professional handling; Maintain full compliance with UN MOSS by the field offices Implement a fully-functioning Registry warning system by the first quarter of 2017 which entails 1) having in place a hotline number to be used to report all serious incidents as well as a calling chain, 2) maintaining a list of Duty Officers, and 3) creating guidelines on the handling of crisis by the Duty Officer; Conduct yearly review of the state of readiness of the staff and witness protection; Complete the UN MOSS self-assessment for all field offices and update ICC-specific Security Risk Assessment. Implement the Registry Warning system. Priority Objective 3.3.2 Engage in constructive discussions with States to overcome obstacles and to promote best practices, such as consulting promptly with the Court in order to resolve any matter that has impeded or prevented the execution of requests. Level of general support and cooperation by States; Complete and updated list of focal points created; Number of and quality of manuals developed; Degree of cooperation by States pertaining to suspects, financial investigations, and other matters; Increase understanding regarding the Court's mandate and processes amongst influential stakeholders by addressing their information needs and concerns in a timely manner; Develop an updated list of focal points of central authorities to discuss format of requests for assistance; Develop manuals on cooperation procedures to encourage cooperation of the States on freezing of assets Explore opportunities to seek cooperation of the States in collecting information pertaining to the whereabouts of suspects at Development of system to measure large in order to secure arrests, practical capacity built via Research into the legislation and practice in different States to cooperation seminars. refine the financial investigation strategy; Develop of systems enabling proper follow-up of cooperation seminars and sustainability of the exchanges. Priority Objective Five new cooperation agreements; 3.4.3 Four negotiations initiated. Explore partnerships to assist States to conclude agreements of key importance to the Court, including relocation agreements. Priority Objective 3.4.4 Increase external and internal level of cooperation in relation to witness protection. Improved relations with the Prosecution and Defence in the area of cooperation. Number and degree of seriousness directed at the witnesses Care maintenance delivered in a timely manner Conclude new agreements; Advance in negotiations with States Parties and other possible partner states; Establish a list of States which the Court could approach for different ad hoc cooperation requests and refine its negotiation strategy; Develop strategy on the creation of partnership with States to encourage States to conclude different agreement with the Court. Reply provided within one month to all queries relating to the conclusion of an agreement. Protection of the witnesses referred by the parties and participants Undertake in-depth review of witness protection ; Provision of care maintenance to the witnesses under protection of the Court 188 10-E-170816 ICC-ASP/15/10 Annex VI Staffing information Annex VI (a) Proposed Court staffing in 2017 by Major Programme Total P-staff Total P-1 and above GS-PL GS-OL GS-staff 39 33 5 239 248 5 16 3 3 182 38 553 20 1 1 15 3 12 77 311 2 3 1 1 407 13 78 326 5 3 1 1 427 Total Staff 52 317 574 10 19 4 4 980 Total Court Major Programme I Major Programme II Major Programme III Major Programme IV Major Programme VI Major Programme VII.5 Major Programme VII.6 Grand Total USG ASG D2 D-1 P-5 4 P-4 3 36 43 1 4 P-3 20 77 85 1 3 P-2 12 71 89 1 8 1 1 1 1 3 3 1 1 17 22 1 1 1 1 2 9 45 1 1 89 1 187 Annex VI (b) List of reclassifications 2017 Level Number of Posts 1 Current P-4 New/Requested P-5 Organ/Section Registry/VPRS Functional Title From Chief of VPRS To Chief of VPRS Total VPRS Reclassification: 1 1 1 1 1 P-3 P-3 P-3 GS-OL P-4 P-4 P-4 P-2 STFV (CIV / CAR) STFV (Uganda / Kenya) STFV (DRC / Bunia) SFTV Programme Manager Programme Manager Programme Manager Executive Assistant Programme Manager Programme Manager Programme Manager Associate Executive Officer Total STFV Reclassification: 4 Total Reclassifications: 5 Annex VI (c) List of conversions 2017 (GTA to Established posts) Number of Posts Level 2 3 1 1 P-3 P-3 P-3 GS-OL From 2016 GTA GTA GTA GTA To 2017 Established posts Established posts Established posts Established posts Programme / Section Appeals Section Forensic Science Section Forensic Science Section Functional Title Appeals Counsel Cyber Forensic Investigator Forensic Officer International Cooperation Section Administrative Assistant 10-E-170816 189 ICC-ASP/15/10 Number of Posts Level 1 2 3 7 1 1 1 1 1 1 6 2 1 1 10 4 16 3 1 1 1 6 GS-OL P-3 P-3 P-2 GS-OL P-2 P-3 P-2 P-1 GS-OL GS-OL GS-OL GSOL P-4 P-3 P-2 P-1 P-1 P-3 P-2 P-1 P-2 From 2016 GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA GTA 78 GTA GTA To 2017 Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Established posts Programme / Section Functional Title International Cooperation Section Judicial Cooperation Assistant Investigation Analysis Section Investigation Team Investigation Team Investigation Team Legal Advisory Section Planning and Operations Section Planning and Operations Section Planning and Operations Section Planning and Operations Section Planning and Operations Section Planning and Operations Section Planning and Operations Section Prosecution Section Prosecution Section Prosecution Section Prosecution Section Prosecution Section Services Section Services Section Services Section Situation Analysis Section Analyst Investigator Associate Investigator Information Management Assistant Associate Legal Advisor Operations Officer Associate Victims Expert Assistant Analyst Administrative Assistant Data Processing Assistant Protection Strategies Assistant Administrative Assistant Trial Lawyer Trial Lawyer Associate Trial Lawyer Assistant Legal Officer Case Manager Translator Translator (Arabic) Database Coordinator Associate Situation Analyst Total OTP Conversions: 1 1 P-3 P-3 Established posts Established posts Fundraising Visibility Officer Finance Officer Fundraising and Visibility Officer Finance Officer Total STFV Conversions: 2 Total Conversions: 80 Annex VI (d) List of conversions/reclassifications 2017 (GTA to Established posts) Level Number From of Posts 2016 1 1 1 GTA GTA GTA To 2017 Established post Established post Established post Current GS-OL GS-OL GS-OL New / Programme / Requested Section P-2 P-2 P-2 STFV (CIV) STFV (CAR) STFV (Uganda) Functional Title From To Field Programme Associate Field Programme Assistant Officer Field Programme Associate Field Programme Assistant Officer Field Programme Associate Field Programme Assistant Officer 190 10-E-170816 ICC-ASP/15/10 1 2 GTA GTA Established post Established post GS-OL GS-OL P-2 P-2 STFV (Kenya) Field Programme Associate Field Programme Assistant Officer STFV (DRC-Bunia) Field Programme Associate Field Programme Assistant Officer Total Conversions/Reclassifications: 6 Annex VI (e) Judges' salary and entitlements for 2017 (thousands of euro) Costs Presidency Special allowance for President and Vice-Presidents Subtotal Presidency Chambers: 24 Judges Standard salary costs - 18 Judges Judges' pensions Subtotal Chambers Additional requirements Accruals for annual leave Accruals for relocation Estimates of home leave and education grant expenses Service incurred injury insurance - Court requirement Subtotal Additional requirements Total Judges' salary and entitlements for 2017 126.0 181.2 276.1 36.0 619.3 5,950.0 3,712.9 1,589.8 5,302.7 28.0 28.0 The Judiciary budget includes a revision of the judges' remuneration in implementation of Assembly Resolution ICC-ASP/3/Res.3 of 2004. The consequent salary alignment of the judges of the Court with the remuneration scheme of the judges of the International Court of Justice and other international courts and tribunals, will amount to an increase in judges' costs of 580.9 thousand. Annex VI (f) Comparison of ICC Judges' salary with Judges of other International Tribunals and senior officials Annual Remuneration ICC Judges (thousands of euro) 2003 2004 2005 2006 180,000 180,000 180,000 180,000 Annual Remuneration ICJ, ICTY, STL Judges (thousands of euro) 136,960 164,352 174,706 174,706 Annual Net Base Salary Annual Net Base Salary USG (ICC Prosecutor) ASG (ICC Deputy Prosecutor and (thousands of euro) Registrar) (thousands of euro) 148,933 148,525 147,180 149,976 136,599 136,225 133,934 136,478 10-E-170816 191 ICC-ASP/15/10 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 180,000 180,000 180,000 180,000 180,000 180,000 180,000 180,000 180,000 180,000 174,706 179,064 186,720 188,640 190,292 197,607 198,277 197,640 206,990 206,270 152,208 151,020 161,532 157,984 163,531 170,136 171,495 170,534 178,771 178,140 138,509 138,577 148,518 149,308 149,989 156,047 157,293 156,413 163,967 163,392 Annex VI (g) Standard salary costs for 2017 - Professional and General Service staff at Headquarters (thousands of euro) Post level Net salary (1) USG ASG D-1 P-5 P-4 P-3 P-2 P-1 GS-PL GS-OL 177.6 162.9 140.5 121.6 102.1 87.3 70.9 70.9 64.4 51.4 Common staff costs Representation allowance (2) 72.3 66.3 57.2 49.5 41.6 35.5 28.8 28.8 26.2 20.9 (3) 4 3 Total (1)+(2)+(3)=(4) 253.9 232.2 197.7 171.1 143.7 122.8 99.7 99.7 90.6 72.3 Delayed recruitment factors: (a) (b) (c) (d) Existing Professional and General Service posts in MP I: Existing Professional and General Service posts in MP II, IV and VI: Existing Professional and General Service posts in MPs III: 5 per cent 10 per cent 12 per cent Existing Professional and General Service posts in MPs VII-5 and VII-6: 0 per cent Delayed recruitment factors Post level USG ASG D-1 P-5 P-4 (0%) 253.9 232.2 197.7 171.1 143.7 (5%) 241.2 220.6 187.8 162.6 136.5 (10%) 228.5 208.9 177.9 154.0 129.3 (12%) 223.4 204.3 174.0 150.6 126.4 192 10-E-170816 ICC-ASP/15/10 P-3 P-2 P-1 GS-PL GS-OL 122.8 99.7 99.7 90.6 72.3 116.7 94.7 94.7 86.1 68.6 110.5 89.7 89.7 81.6 65.0 108.1 87.7 87.7 79.8 63.6 Annex VII Proposed budget for 2017 for the African Union Liaison Office (AULO) In line with resolution ICC-ASP/9/Res.4, IX of the Assembly of States Parties,2 no resources have been allocated to the African Union Liaison Office in the proposed programme budget for 2017. Should the African Union agree to the Court's request to open a Liaison Office in Addis Ababa, the Court will notify the Committee of the need to access the Contingency Fund up to the amount in the Court's proposed budget for 2017 of 377,000 in order to proceed with the establishment of the said Liaison Office. 2015 Expenditures (thousands of euro) Total Cont. Fund Total incl.CF 1320 African Union Liaison Office Judges Professional staff General Service staff Subtotal staff General temporary assistance Temporary assistance for meetings Overtime Short term assistance Subtotal other staff Travel Hospitality Contractual services Training Consultants General operating expenses Supplies and materials Furniture and equipment Subtotal non-staff Total 2016 Approved Budget Resource changes Amount % Proposed 2017 estimates (thousands of euro) 177.9 65.0 242.9 15.2 1.0 15.6 0.0 0.0 49.6 5.0 47.7 134.1 377.0 2 Official Records... Ninth Session ... 2010 (ICC-ASP/9/20), vol. I, part III, ICC-ASP/9/Res.4. 10-E-170816 193 ICC-ASP/15/10 Annex VIII Income projections 2011-2017 (millions of euro) 2011 Assessed contributions Interest earned Total 103.6 0.4 104.0 2012 108.8 0.4 109.2 2013 115.1 0.4 115.5 2014 118.6 0.4 119.0 2015 124.5 0.3 124.8 2016 151.1 0.2 151.3 2017 147.3 0.1 147.4 Annex IX 2017 estimated income statements Least-Developed Countries Trust Fund Item Estimated income 2017 Donor contributions Subtotal income Estimated expenditure 2017 Travel Administration costs Subtotal expenditure Net income 2017 42,200 7,800 50,000 0 50,000 50,000 Euro 194 10-E-170816 ICC-ASP/15/10 Annex X (a) Travel claims 10-E-170816 195 ICC-ASP/15/10 Annex X (b) OTP resource allocation to cases 2016 compared to 2017 (euro thousands) ____________ 196 10-E-170816