Professional Documents
Culture Documents
Transitional Justice Histories
Transitional Justice Histories
Transitional Justice Histories
Alex
Hinton, Lawrence Douglas and Jens Meierhenrich, eds., Oxford: Oxford
University Press.
I. Introduction
Mass political violence unsettles the past like no other comparable event.
The battle over its interpretation typically begins the moment the first shot is
fired and continues long after the final peace is signed. Transitional justice
institutions actively partake in that struggle and in the past several decades,
post-conflict criminal courts and commissions of inquiry are increasingly the
fora in which past atrocities are addressed.
The historical narratives produced by transitional justice institutions vary
widely in content and form. Some are minimalist, limited to basic fact-finding
and simply establish who did what to whom. Others are more ambitious and
delve into the origins and causes of the conflict, the social forces and
structural factors contributing to violence, and the involvement of
international actors. Despite their formal differences, all the historical
accounts presented at and by transitional justice institutions have one thing
in common - they inevitably broach the most sensitive and hazardous
historical issues in the conflict. The stakes are high: their conclusions can
facilitate the process of overcoming the historical legacy of a conflict and
fostering peaceful coexistence. Conversely, they may also represent a lost
opportunity, or worse, actively forestall open public debate about the past.
The competing historical accounts in transitional justice institutions have
only become a topic of academic scrutiny fairly recently (Adler 2018;
Douglas 2001, 2016; Osiel 1997; Petrović 2017; Simpson 1997; Teitel 2001;
Wilson 2001, 54-61), and a number of questions have emerged in this
literature, such as; how should we understand the conditions of the
1
A comment attributed variously to South African comedian Pieter Dirk-Uys, and a
popular joke that circulated in the former Soviet Union. See “The past is unpredictable: race,
redress and remembrance in the South African Constitution.” Inaugural Lecture of Pierre de
Vos, 14 September 2011, University of Cape Town. Available at:
https://www.uct.ac.za/downloads/uct.ac.za/news/lectures/inaugurals/De_Vos_inaugural.pdf
2
We understand narrative to imply an ordering of individual elements into a
chronological account which makes (more or less) causal claims about the relationship
between the elements. Dworkin (1977) identified how legal arguments routinely present facts
in a chronological form, and how narrative coherence is essential to the parties’ success in
the courtroom. “History” implies a broader, and usually officially sanctioned, account that
incorporates one or more such sub-narratives about the past.
While liberal legalism has its supporters in the academy, and especially
in law schools, a preponderance of humanities and social science scholars to
develop their own version of what we call “incompatibility thesis” that
emphasizes the distinct modus operandi of history and law.4. Law’s unique
conventions, special categories and exceptional rules impel courts to perceive
historical events through a counter-intuitive prism, leading to all manner of
unintended consequences and untenable outcomes. As a concrete example, a
number of historians maintain that the International Military Tribunal did not
adequately address the most important Nazi crime of all - the mass
extermination of European Jews.5 The trials left an incomplete and
impoverished historical record because crimes against humanity were
subordinated to crimes against peace and conspiracy to wage an aggressive
war. The strategy adopted by Nuremberg prosecutors was motivated by a
specifically legal rationale related to the 1945 Nuremburg Charter that
required that crimes against humanity be committed in the “execution of or
in connection with any crime within the jurisdiction of the Tribunal.” This
meant that to fulfill the elements of crimes against humanity, prosecutors had
to demonstrate that they were committed in furtherance of a war aim.
Consequently, the Tribunal paid more attention to the German war of
aggression than the systematic program to eradicate European Jews. Hence,
many historians concluded that the Nuremberg trials did not present an
authoritative historical account of the Holocaust and may even have distorted
the record for future generations.6
As a result, many historians are wary of becoming embroiled in atrocity
trials. Henry Rousso, then Director of the Institute for Contemporary History
in Paris, pleaded with the president of the Bordeaux Assizes Court to exempt
him from testifying as an expert witness in the 1997 trial of Vichy era police
chief Maurice Papon: “In my soul and conscience, I believe that an historian
cannot serve as a “witness”, and that his expertise is poorly suited to the rules
and objectives of a judicial proceedings…The discourse and argumentation
of the trial…are certainly not of the same nature as those of the university.”7
Even historians who have testified successfully in trials express dismay with
their experience. Richard Evans, (2002:330) who testified as an expert
happen?” and “Why did it happen?”, of “Why the Jews?” and “Why the
Germans?”[...]be left in abeyance” (p.5).
4
See Osiel (2000) and Minow (1998). See Borneman (1997: 103) on the conflicting
aims of historians and the justice system.
5
See Bloxham (2001), Friedlander (1992) and Marrus (1997) on the limitations of
Nuremburg.
6
Donald Bloxham (2001) argues that the Holocaust was largely absent in the Nuremberg
trials. For a defense of the Nuremberg trials’ historical contribution, see Douglas (2001: 65-
94).
7
See Letter to the President of the Bordeaux Assizes Court, in Golsan (2000a:194).
witness for Deborah Lipstadt’s defense in the 2000 British libel trial brought
by Holocaust denier David Irving, complained, “For the historian, it can be
disconcerting to see carefully researched historical material ripped out of its
context by clever lawyers and used as a bludgeon to beat the other side.” He
identifies irreconcilable incompatibilities between legal and historical
approaches to evidence: while law’s standards of proof are “beyond
reasonable doubt”, historians deal in “the broader frame of probabilities.” 8
Court expert witnesses are often subjected to hostile cross-examination,
whereas historical analysis proceeds through academic discussion and peer
review. Law’s epistemology is positivist and realist, demanding definite and
verifiable evidence produced through forensic methods. History, on the other
hand, is more pluralistic and interpretative in both its methods and
conclusions. Transitional justice institutions may endorse one version of
unfolding of events above all others, whereas historians may integrate the
elements of competing accounts. Historians often recognize that historical
truths are provisional. Their evidence and conclusions are not always free of
ambiguity and could rest on the evidence which would be deemed a hearsay
in the court. Historians situate individual acts within the societal and cultural
contexts as a matter of course, whereas courts or commissions of inquiry are
only concerned with context insofar as it impinges on questions of guilt or
innocence. Establishing criminal responsibility is entirely alien to what
historians do. Transitional justice institutions demand the kind of
corroborated facts that will allow them to name responsible individual in their
reports, or, in the case of courts, convict the accused. Historians, on the other
hand, are absolved from such imperatives and can afford to be more open to
indeterminacy and a more systemic approach to causality and responsibility.
Both Arendt’s liberal legalism and the “incompatibility thesis” have
much to commend them, and their critique of standard justice institutions
(especially criminal trials) is persuasive and compelling. Yet another
intellectual tradition identifies the ways in which transitional justice
institutions may transcend the divide between law and history. Judith Shklar
was one of the first to defend post-conflict legal narratives, contending
forcefully that there are “occasions when political trials may actually serve
liberal ends, where they promote legalistic values in such a way as to
contribute to constitutional politics and to a decent legal system” (Shklar,
1964, 145). She recognized that in Nuremberg and Tokyo tribunals “history
had to be tortured throughout in order to reduce the events to proportion
similar to those of a model criminal trial within a municipal system” (147).
Yet she had no doubt that “their main value lies in the historical facts about
8
Richard Evans, a historian at Cambridge University, served as expert witness for
Deborah Lipstadt’s defense in the 2000 British libel trial brought by Holocaust denier David
Irving.
Nazi government they brought to light,” (156). Among historians, even more
generous was Michael Marrus, who concluded that Nuremberg “at its best
moments, set an example for a kind of historical judgment — impartial, but
not necessarily dispassionate; fair-minded, but not without moral compass;
searching in quest of truth, while recognizing the formal limitations that
attend to the endeavor in an adversarial proceeding.” (1998, 6).
In more recent reappraisals of the Eichmann trial, there is a growing
consensus that Arendt’s reservations rested on “needlessly restrictive vision
of the trial as legal form” (Douglas 2001, 27), Arendt’s palpable disdain for
the Israeli court rendered her oblivious to the positive aspects of the
Eichmann trial (Burdon 2018, Cesarini 2005, Douglas 2001, Yablonka 2004).
The inclusion of victims’ testimonies and other innovative elements,
according to Rosenbaum, transformed this trial into “an enormously positive
landmark in the history of human rights enforcement and of the effort to seek
accountability on behalf of the victims of genocide” (2012, 387). Certainly,
one could not foresee how Eichmann trial would eventually galvanize West
German public opinion and contribute to a vigorous campaign of domestic
prosecutions of Nazi crimes (Petrović 2017, 220). In the hands of
prosecutorial activists like Fritz Bauer, some of those proceedings functioned
both to punish Nazi criminality and to send a wider societal message
(Petrović, 2018). The lessons of the Eichmann trial reverberated in the 1963-
65 Frankfurt trials of twenty-two Auschwitz camp personnel and the
subsequent response of West German society to the Holocaust.
Historians appearing as expert witnesses in the Frankfurt trial came to
play a crucial role in raising public awareness in West Germany about aspects
of the Holocaust that were not fully examined in previous prosecutions of
Nazi criminals (Pendas, 2006). In time, German historians and criminal
courts developed a model of cooperation which “did not undermine the
credibility of judges and historians. Both observed the rules and discourse of
their respective professions and neither blurred the distinction between
justice legally applied and truth historically defined” (Haberer, 510). This
narrative, as well as the prosecution of Nazi war criminals was embedded in
a wider comprehensive memory politics, which included media discourse,
the writing of school textbooks and curricula, and museums and
commemorations. Although the German example is exceptional, it
demonstrates that when a state and society broadly endorse a program of
accountability and historical inquiry, and where international justice
institutions have already adjudicated some of the most criminally responsible
actors, then national institutions using conventional criminal categories can
furnish both adequate law and history.
Therefore, there is a compelling case for rethinking the long-standing
view that the pursuit of accountability and the writing of history are
immediate outcome.
9
Truth commissions are generally not established within the framework of the justice
system and yet they may hold hearings where they hear evidence, cross-examine witnesses
and possess legal powers such as the authority to grant amnesty; hence they are “quasi-legal.”
historically accurate account of past mass violations, and courts are more
directed towards determining guilt or innocence and punishing individual
offenders. Yet beyond this, a number of different outcomes are possible, and
these do not always depend on whether the institution is a commission or
court.
There is a plausible explanation for this state of affairs, and it relates to
how the state is often in a structural situation of a conflict of interest with a
domestic court or truth commission. In transitional justice contexts, the state
is being asked to judge itself, and make itself vulnerable to law suits and
demands for reparations from the victims of government agents. Granting
reparations to all victims of state-sponsored violence is something that post-
authoritarian states, often facing massive social pressures and resource
constraints, seek to evade. For instance, in South Africa in 1997, different
state institutions pursued decidedly contradictory objectives. In the African
township of Sebokeng south of Johannesburg, the TRC held public hearings
where Commissioners listened sympathetically to the voices of the many
victims of the South African Police. Meanwhile, just a few kilometers down
the road at the Vanderbijlpark Murder and Robbery Unit, police officers
continued to torture and assault criminal suspects to extract confessions.
While one branch of the South African state held a forum to hear victims’
stories of police violence, another agency generated yet more victims of
torture and maltreatment. And, crucially, in 1997 the Minister of Safety and
Security was being sued successfully for damages. The inherent conflict of
interest this implies means that the post-conflict state can seldom act as a
neutral arbiter since it is too embedded in, and financially liable for, a violent
scenario of its own (and often continued) making. Both truth commissions
and domestic trials are caught up in the state’s material conflicts of interest
and the imperative to manufacture legitimacy to control internal dissent and
project itself in a positive light internationally. This explains in part why
national truth commissions have not always represented a radical
improvement on criminal trials.
Despite these shortcomings, the South African TRC has been held up as
a paradigmatic model for all subsequent truth commissions and during the
late 1990s and early 2000s, the United Nations and donor governments
adopted official policies stating that the task of writing a new official history
of a period of authoritarianism and violent conflict was central to co-
existence and accountability, and they promoted truth and reconciliation
commissions to fulfill this undertaking. (UK Parliamentary…. ; UNSC 2004,
paragraph 47, p. 16). And, in fairness, there have been some comprehensive
and well-crafted truth commission reports that transcend the narrowness of
national criminal procedure. Perhaps the most impressive report qua
historical document is the 1999 report of the UN-sponsored Guatemalan
The sudden and seemingly bloodless conclusion to the Cold War in 1989
opened a short window of international cooperation that lasted until
September 11, 2001. In the 1990s, transitional justice emerged as a coherent
field that offered successor regimes a wide array of institutional mechanisms
aimed at addressing the legacy of mass crimes (Kritz 1995; Borneman 1997;
McAdams 1997). Up until 1993, the range of possible transitional justice
institutions writing historical accounts was limited to national criminal justice
institutions, national truth commissions, or international truth commissions.
As a response to the ethno-nationalist conflagrations in the Balkans (1991-
1995) and Rwanda (1994), a new model arose that had not been seen since
Nuremberg: internationally constituted criminal tribunals applying
international criminal law. International law is a hybrid system that
amalgamates Anglo-American adversarial law and the civil-law system
found in much of continental Europe, Latin America, Francophone Africa
and Asia. International criminal law borrows from these pre-existing systems,
and also generates its own rules and procedures and legal precedents,
bringing into being a unique legal system that must be taken seriously in its
own right. It also has been characterized by an approach to history that is
more capacious than that which is commonly found in national criminal
jurisdictions.
What did this explosion of transitional justice theory and practice mean
for narratives about the past? Some scholars offered Durkheimian
formulations that emphasized social solidarity, ritual and the recreation of
social norms. Mark Osiel considered that “law-related activities of this sort
contribute to the kind of social solidarity that is enhanced by shared historical
memory” (1999).10 Lawrence Douglas (2016, 6-7) observes how prosecutors
portrayed the Nuremberg trials, the Eichmann trial and the French Holocaust
trials as didactic exercises that taught history as much as they pursued
accountability.
A laboratory to test those views appeared in the renaissance of
international criminal prosecutions and the creation of two ad hoc judicial
institutions-the International Criminal Tribunal for the former Yugoslavia
(ICTY, 1993) and the International Criminal Tribunal for Rwanda (ICTR,
1994). Mandated with prosecuting perpetrators of the gravest international
crimes, these tribunals delivered an unexpectedly high level of
accountability– the ICTY indicted 161 persons and sentenced 90 in The
10
See also (Teitel 2000, 116) on trials and public hearings as legal rituals.
that “the tribunal can never write the whole history of the Rwandan tragedy
of 1994, in particular the Rwandan genocide, its genesis and it realisation”
(UNICTR, Bagosora, Nsengiyumva, Kabiligi & Ntabakuze Transcript (2
April 2002), p. 146.) Even so, the sheer volume of evidence surpassed any
other ICTR case, with nearly 1,600 exhibits and 242 witnesses in a trial that
lasted for 409 trial days, generating over 30,000 pages of transcript.
(Bouwknegt 2015).
In December 2008, Bagosora was found guilty of a range of crimes
including crimes against humanity and genocide and sentenced for life
imprisonment in a verdict that exercised extreme caution in its venture into
historical narrative. In acquitting Bagosora on the charge of conspiracy to
commit genocide, the judges allowed the distant possibility that “other or
newly discovered information, subsequent trials or history may demonstrate
a conspiracy involving the Accused prior to 6 April to commit genocide. This
Chamber’s task, however, was narrowed by exacting standards of proof and
procedure, the specific evidence on the record before it and its primary focus
on the actions of the four Accused. In reaching its finding on conspiracy, the
Chamber considered the totality of the evidence, but a firm foundation cannot
be constructed from fractured bricks…the process of a criminal trial cannot
depict the entire picture of what happened in Rwanda” (UNICTR, Bagosora,
2112). The ICTR’s disposition in Bagosora then, tilted away from any
attempt to establish an historical record of the genocide, even though the
accused was one of the most high-ranking officers in the Rwandan Defence
Ministry.
Other cases at the two ad hoc international tribunals lay along on a
continuum of historical depth and complexity, producing different results and
prompting conflicting assessments. The ICTY has accused 160 persons
beside Milošević, including four self-proclaimed heads of state, at least four
prime ministers and five Chiefs of General Staff of different warring sides,
and the number of ministers, municipality leaders, military, and police
dignitaries can be counted in the dozens. It also leaves behind over 2.5 million
pages of transcripts of these trials, and many more pages of documents
entered as evidence, as well as visual material pertaining to the war in the
former Yugoslavia and testimonies of over 10,800 witnesses. (ICTY,
Infographics). However, the soundness and historical depth of the ICTY’s
judgments did not translate into impact in the region of the former Yugoslavia
(Klarin 2009, Milanović 2016).
If we take into account how disputed the ICTY’s judgments still are in
the states of the former Yugoslavia, and how insignificant the impact of its
historical narratives were on the transition to a shaky version of democracy
(Subotić 2009, Trbovc 2017), we must arrive at the sobering conclusion that
transitional historical narratives are seldom the dominant voice in post-
conflict deliberation on the past, and at best they can only shrink the space
for denial (Orentlicher 2008; Fischer 2015). Obviously, the responsibility for
the lack of impact of transitional historical narratives cannot be attributed
solely to the judicial institutions themselves, as the receptivity (or otherwise)
of politicians and other public figure in the national political context is a key
factor in the uptake of the popular audience.
Even if the ICTY’s own self-assessment is overly optimistic that “the
Tribunal’s judgements have contributed to creating a historical record,
combatting denial and preventing attempts at revisionism and provided the
basis for future transitional justice initiatives in the region (ICTY
achievements),” in comparison with other international criminal tribunals, in
terms of producing historical narratives, the ICTY has set a high benchmark
(Wilson, 2011). Other international tribunals have not attained that standard
and have been heavily criticized for their selectivity, politicization, or mere
lack of professionalism, which in the realm of historical narrative amounted
to “fact finding without facts” and “fictions of justice” (Combs 2010; Clarke
2009; Buss 2014). A permanent international criminal tribunal, the
International Criminal Court, opened its doors in The Hague in July 2002 and
has since indicted 42 persons (Kamuli 2014). The pace of justice at the ICC
has been glacially slow and the rate of acquittal or dismissal of charges is
significantly higher than at other tribunals. As of early 2018, nineteen
proceedings were completed at the ICC, resulting in a paltry five convictions.
The quality of the judgments themselves has been mixed, and historical
evidence has been much less prominent in the case theories of either the
prosecution or defense.
In part, this results from the generally narrower scope of ICC indictments
and the absence of “joint criminal enterprise” in the ICC Statute, a collective
mode of liability that propelled a more contextual approach to the crimes.
The ICC is constituted more like a civil law court than the ICTY or ICTR,
and judges play a more influential role in case management and thereby may
exclude historical evidence brought by the parties that they determine does
not have probative value. Furthermore, certain valuable and innovative
practices of ad hoc tribunals were not adopted at the ICC. One reason why
the ICTY excelled at historical inquiry was because the Office of the
Prosecutor included a 30-strong team that other international tribunals have
not replicated: the “Leadership Research Team” which integrated experts on
the region and crucially, from the region, and included historians, linguists,
military experts and other non-law specialists. Such a team with contextual
expertise is even more necessary at the ICC, which has jurisdiction in
potentially scores of countries, but fails to cultivate the same level of cultural,
historical and regional expertise as the ad hoc and hybrid tribunals. Thus far,
the signs at the ICC are not auspicious with respect to either accountability
or historical inquiry.
V. Conclusions
intermediaries.
This point is valid for both trials and commissions. By focusing on the
political context in which transitional justice institutions are established, and
in particular by examining how they are constituted within nation-state
structures or intergovernmental bureaucracies such as the United Nations, it
is possible to encompass both truth commissions and criminal prosecutions
within the same analytical framework. This allows us to rethink the binaries
of criminal law v. truth commissions or history v. justice and to try to
understand why some courts and truth commissions have failed or succeeded
in producing defensible historical accounts of the past. The critique that
transitional justice narratives are reducible to national politics is valid only
up to a certain point, we contend that it is less true for internationally
constituted institutions. It is undeniable that international institutions lack
coercive apparatus of the nation-state and are usually reliant on states to
enforce powers of search, subpoena, seizure and arrest. International courts
and commissions are buffeted by nation-state and global actors who seek to
control their indictments, constrain their access to evidence, and hide those
facts the parties to the conflict find unpalatable.
Having said this, international tribunals and commissions tend to be freer
from direct interference from the nation-state and powerful domestic actors
seeking to avoid public opprobrium. The historical narratives produced by
transitional justice institutions are more likely to address structural and
political factors in the conflict when the institutions are internationally
constituted, and when their investigations are guided by categories that
accentuate the collective dimensions of violence. The involvement of
international agencies in both courts and commissions can presage a more
balanced, comprehensive, victim-centered and compassionate process of
history writing.
However, far from being a universal panacea, this is only a precondition.
International versions of transitional justice are still processed and consumed
locally. The practice of adjudication is fractured, fragmented, and contingent
process that is shaped by the efforts of distinctive parties to assert their
strategic vision of the past. The eventual historical narrative emerges from a
concatenation of competing claims and the shifting fortunes of an array of
disparate actors at the national and international levels. Transitional historical
narratives are only one vector of memory, entering an arena of contested
visions of the past. As judgments enter the public space where the
conversation has often moved on from the violent conflict to more
conventional political matters, their reception remains uncertain.
Transitional justice histories are caught on the horns of two conflicting
impulses. They aim to document the atrocity and therefore trigger an ethical
and political transformation in the direction of democracy and an open
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