Genocide – Yesterday, Today And Tomorrow

Hitler was accused of this, even Saddam Hussein was hanged for the same, and this made Lemkin to combine two words from two different languages to evolve a new terminology. What is it, that when uttered turns the gooseflesh of an individual? Is this term worth so much effort and innovation that it has gobbled the minds of the globe’s most efficient organizations?

In the Age of Extremes, in a period when the World Wars were witnessed and there were a series of State sponsored murders; the mid-century scholars were groping for a new word to describe the gruesome events. In the meantime Lemkin evolved a new terminology “GENOCIDE” replacing the older one “Acts of Barbarity” by combining ‘genos’, (a Greek term used for family, tribe, race ) and ‘cide’ (from a Latin term occide which meant to massacre).

Genocide is one of the worst crimes a government can commit against its citizens. Genocide was a new terminology but the act wasn’t new. Ben Kierman, A Yale Scholar labeled the destruction of Carthage at the end of the Third Punic War (149-146 B.C) as the “First Genocide”. This signifies that the barbaric acts have been a part of the society since ages. The most recent massacre is the Burma-Myanmar incident in the 21st century. But there is one common aspect in both the above incidents, i.e. Greed. It’s quite strange that in an era when the whole world is striving for brotherhood, some groups are on a mission to end the civilization.

In the wake of the Holocaust, Lemkin successfully campaigned for the universal acceptance of international laws defining and forbidding genocide. This was achieved in 1948, with the promulgation of the Convention on the Prevention and Punishment of the Crime of Genocide (CPPCG).

The CPPCG was adopted by the UN General Assembly on 9th December 1948 and came into effect on 12th January 1951 [Resolution 260 (III)]. It contains an internationally-recognized definition of genocide which was incorporated into the national criminal legislation of many countries, and was also adopted by the Rome Statute of the International Criminal Court, the treaty that established the International Criminal Court (ICC). The Convention (in Article II) defines genocide as:

“…any of the following acts committed with intent to destroy, in whole or in part, a national, ethnical, racial or religious group, as such:

(a) Killing members of the group;

(b) Causing serious bodily or mental harm to members of the group;

(c) Deliberately inflicting on the group conditions of life calculated to bring about its physical destruction in whole or in part;

(d) Imposing measures intended to prevent births within the group;

(e) Forcibly transferring children of the group to another group.”

But despite having an International Treaty since sixty long years, we are still facing the problem of genocide which is getting worse with the passage of time. Thus leaving a trail of questions in our mind like if we have a Genocide Convention, why genocide still exists? What can individuals and nations do to prevent genocide?

ROOTS OF THE MAYHEM

At times brains gobble pertaining to the origin of the bloody form of holocaust, which is GENOCIDE. But have we ever tried to analyze within our so-called intelligent brains that where from this word genocide crept into our society? Is this a result of day to day increasing greed for power and position of some mischievous brains or it popped up suddenly on one fine day out of no where? Very much obvious the later reason can be completely gain said. If we recapitulate the past we can surely get our answers that how this form of mayhem actually evolved. There has been considerable research on why a perpetrator would want to destroy a group or, if not destroy the group as such, murder people because of their group membership. Motives are often complex and intertwined, but one can usually pull out among the mix a major motive

Genocide has been there in society since times immemorial. There are numerous incidents which knock the memory from time to time like the Nuremburg Trials, the Bosnian Genocide, Rwanda and the Darfur massacres. Even the Old Testaments have references of it in the genocide of Amelekites and Midianites.
But have we ever tried to analyze why genocide occurs? The answer is straight, only a few intellectual minds on the globe analyzed the reasons. Some intellectual brains have evolved by the very meaning of genocide i.e. killing based on race, group or nationality, that one of the main causes of genocide is the RACIAL PREJUDICE. The U.S.A has witnessed the fiery Holocaust in the early nineties. Holocaust expert David Cesarani argued that the government and policies of U.S.A against certain indigenous people constituted Genocide in the Western Hemisphere. Even the Jews were subjected to Hitler’s barbaric acts, the Kurds of Iraq faced the same from the then Dictator.

The racial prejudice is much influenced by the legalized racial segregation in the past. Racial segregation used to be characterized by separation of different races in daily life, such as eating in a restaurant, drinking from a water fountain, using a rest room, attending school, going to the movies, or in the rental or purchase of a home. Segregation may be mandated by law or exist through social norms. Segregation may be maintained by means ranging from discrimination in hiring and in the rental and sale of housing to certain races to vigilante violence such as lynching; a situation that arises when members of different races mutually prefer to associate and do business with members of their own race would usually be described as separation or de facto separation of the races rather than segregation. Legal segregation in both South Africa and the U.S. was required and came with “anti-miscegenation laws” (prohibitions against interracial marriage) and laws against hiring people of the race that is the object of discrimination in any but menial positions.

Segregation in hiring practices contributes to economic imbalance between the races. Segregation, however, often allowed close contact in hierarchical situations, such as allowing a person of one race to work as a servant for a member of another race. Segregation can involve spatial separation of the races, and/or mandatory use of different institutions, such as schools and hospitals by people of different races.

Another main cause of the mayhem is the Use of propaganda and mass media. With the technological advances in communication in 21st century unprecedented levels of education have become possible. However, rather than pursuing cooperative and egalitarian world views, ethnic nationalism has continually plagued the societies. I believe that the horrid level of violence in our world is perpetuated because ethnic nationalism has been used by the elite to incite racist violent malice. I believe that this division of humanity through equating specific historical events caused by the ruling elite with the decisions or personal responsibility of vast groups of people to be the primary vehicle governments has used to justify violence. The violence that occurred in 21st century has coincided with governmental use of propaganda. In every atrocity committed by large populations we have seen unilateral control of media used to dehumanize the persecuted and disenfranchised through appeals to ethnic nationalism.

Being a part of 21st century, when there have been several laws incorporated in various domestic laws against every kind of discrimination and racial attacks, is it feasible to consider the racial prejudice the only cause of genocide? The answer would a blunt “NO”.

In the era where there have been governments with strong laws enforced by the States all over the globe, how can racist group commit such a heinous act? The answer is quite relative; that no clan can commit such an act fearlessly unless it is state sponsored or rather say state approved. The infamous Darfur incident is more or less state sponsored. The humanitarian situation is worse than is still generally appreciated, due to ongoing state sponsored violence, layer of aid obstruction, lack of overall humanitarian strategic plan and weakened sate of displaced Sudanese.

The consistent denial of Indonesian Government of any genocidal activity despite missing of about 4 million West Papuans signifies the State sponsored mayhem. These acts, where the state plays a role quite gives an evidence that Genocide denial is normally conducted by those either committing or profiting from the genocide like that of Indonesia and its business partners. The Holocaust is the object of large-scale denial efforts (think about all the publications and money poured into the productions of the negationists). The Holocaust has become a near-universal cultural code for evil in the world, in the last half-century. This has made its denial attractive to a variety of groups who have no historical connection to the events.

Another incident of the state-sanctioned incitement to genocide, whose epicenter is Mahmoud Ahmadinezhad’s Iran, where the toxic advocacy of the most horrific of crimes is embedded in the most virulent of hatreds, the 1970 parliamentary elections in Pakistan that showed the political power of East Pakistan and threatened the control over it by West Pakistan, and the power of the military government. They thus militarily seized East Pakistan and murdered over a million Bengali leaders, intellectuals, professionals, and any Hindus that the military were able to capture, the strong resistance of the Ukrainian farmer to Stalin’s program of collectivization in 1931-32 coupled with the threat of Ukrainian nationalism to communist control. So, when what would have been a mild famine hit the region in 1932, Stalin magnified the famine many fold by seizing their food and its sources (livestock, pets, seed grain, shooting birds in the trees, etc.) and boycotting the import of food to Ukraine. Even visitors to Ukraine were searched and food taken away from them before they entered the Soviet Republic. About 5 million Ukrainians were starved to death.

And the case, when the Rwandan Hutu majority government undertook to murder all Tutsi within their reach at the time when there was turmoil resulting from a major 1991 incursion of the Tutsi expatriate Rwandan Patriotic Front in the northern part of the country, thus providing substantial explanation where it can be said that the major cause of genocide in the 21st century is the state itself motive being, to destroy a group that is perceived as a threat to the ruling power. Genocide is a word that stirs up the deepest emotion, an uncanny chill that makes one realize how inhumane humanity can sometimes be.

LEGALITY PERTAINING TO GENOCIDE

Mass slaughter of human beings by other human beings has been a recurrent phenomenon over the centuries. But until recently neither governments nor international legal specialists had sought to devise formal rules and institutions that could help prevent, or if necessary punish, the perpetrators of large-scale atrocities. The legal application of the term genocide first occurred in the indictment of the Nazi war criminals in the 1945-1946 Nuremburg Tribunal. They were indicted for “War Crimes” (Count Three), which included the “deliberate and systematic genocide; viz., the extermination of racial and national groups, against the civilian population of certain occupied territories in order to destroy particular races and classes of people, and national, racial, or religious groups, particularly Jews, Poles, and Gypsies.” Following the UN resolution of genocide, the question of an international genocide convention was referred to the UN Economic and Social Council. Their debate and deliberation ended in the 1948 UNCG, which came into force in 1951, and since then has been ratified by 133 states.

From the commencement of World War-I till 1938 common mass weren’t much aware of the new form of holocaust except those who actually experienced it i.e., the Armenians. Reason being they had little influence on the international legal arena. The League of Nations was formed but failed being a mere puppet at the hands of the Allied powers. Few other like Hague Agreement to confine aerial bombing to military targets, Geneva Protocols against use of poisonous gas, initiative to prosecute Heads of State (Germany, Turkey) for war crimes, etc were formed as well though majority of them failed to suffice the need of the hour.

But during the World War-II the world became cognizant of the deadly term “GENOCIDE.” As a result of which War Crimes Tribunals at Nuremberg and Tokyo, Nuremberg Charter recognized as customary international law; Genocide Convention, etc were established.

In December 1946 the UN General Assembly unanimously adopted a resolution denouncing genocide as “the denial of the right of existence of entire human groups” and describing it as, “contrary to moral law and to the spirit and aims of the United Nations.” The resolution also set up a committee to draft an international treaty that would formally outlaw genocide. The result, after protracted and often arduous negotiations, was the Convention on the Prevention and Punishment of the Crime of Genocide, which was approved by the UN General Assembly on a 55-to-0 vote in December 1948. The Genocide Convention was slated to enter into force after twenty of the fifty-five UN member-states that voted in favor of it submitted their formal instruments of ratification. Although some signatories of the convention, notably the United States, took many years before they ratified it, ratification by the twentieth country was completed in October 1950, allowing the convention to take effect in January 1951. Since then the Genocide Convention is considered as the most applicable instrument to fight the future Holocausts.
From the time Lemkin’s book appeared, the term genocide has stirred controversy both in the public arena and among scholars. Lawyers, scholars, and political leaders have differed over the scope and nature of the crimes involved. Some, like Lemkin, have sought as broad a definition as possible, not limiting it to large-scale killing. Others, including many prominent historians and political scientists, have advocated a more restrictive definition, focusing on clear-cut cases of mass slaughter and attempts at systematic extermination. Still others have questioned whether genocide necessarily requires the targeting of a specific cultural, ethnic, racial, or linguistic group.

By excluding many of the worst abuses and crimes of the twentieth century, the requirement of a targeted cultural or ethnic group has arguably been the most controversial aspect of the concept of genocide. The very definition of the Genocide provided in Article 2 of the Convention has been subject to much discussion by the international legal personnels. The phrase “in whole or in part” has been subject to much discussion by scholars of international humanitarian law.

The International Criminal Tribunal for the Former Yugoslavia found in Prosecutor v. Radislav Krstic – Trial Chamber I – Judgment – IT-98-33 (2001) ICTY8 (2 August 2001) that Genocide had been committed. In Prosecutor v. Radislav Krstic – Appeals Chamber – Judgment – IT-98-33 (2004) ICTY 7 (19 April 2004) paragraphs 8, 9, 10, and 11 addressed the issue of in part and found that “the part must be a substantial part of that group. The aim of the Genocide Convention is to prevent the intentional destruction of entire human groups, and the part targeted must be significant enough to have an impact on the group as a whole.” The Appeals Chamber goes into details of other cases and the opinions of respected commentators on the Genocide Convention to explain how they came to this conclusion.

GENOCIDE CONVENTION- THE PRESENT STAND

The barbaric acts in the past, forced the authorities to come up with a neutral legislation which would empower the law enforcers to curb the mayhem i.e. Genocide. After much efforts the eminent authorities came up with the Genocide Convention which was enforced post World War II in 1951. The convention was the first modern human rights treaty, adopted only a day earlier than the Universal Declaration of Human Rights which set the common standards of achievement for human civilization. But the main question is, whether the convention has been able to suffice the motive?

Since the treaty has been enforced there have been numerous genocidal incidents like the massacre of the Cambodians, the mayhem on Bosnian Muslims, the Holocaust on the Tutsis in Rwanda, the infamous Bangladesh war, most lately the Burma-Myanmar incident and many other unnoticed incidents. So how would we rate the efficiency of the treaty enforcers?

Definitions of the crime of Genocide, such as those found within the body of international law or as interpreted within the pages of law journals, tend to emphasize a legal framework of mind.
Therefore have unique aims that other members of the academic community would not necessarily prioritize.

The main purpose of such a law, as in all other laws, was to present a practical tool for punishing those that have transgressed a codified set of rules, which in turn is based on a moral imperative agreed upon by members of a society. But such laws also need to be applied fairly. In consequence, a legal definition of Genocide must abide by the spirit of the moral law it purports to represent, but must also be necessarily restrictive in such a fashion that its implementation satisfies the basic requirements of fairness and justice.

The Genocide Convention then aims to present a set of non-negotiable rules by which a strict threshold of guilt must be met in order to punish the accused. And this dichotomy results in a closed and restricted definition of Genocide. This scientific approach has a purpose of creating a regulatory and formal environment for judging guilt.

It so happens that most member states of the United Nations are signatories of the Genocide Convention, more precisely named the Convention on the Prevention and Punishment of the Crime of Genocide. By signing and ratifying the Genocide Convention, these governments have assumed a legal obligation (not just some vague moral obligation) both to prevent genocide and to punish perpetrators of genocide. The convention continues to fail is in its task of preventing genocide on a large scale. Although the duty is set out in the convention, opinions differ about just how far it may extend. Put bluntly, are states required, as a legal obligation, to take action up to and including military intervention in order to prevent the crime from occurring?

The outrage over Iran’s hosting of a Holocaust denial conference has tended to overshadow what should be a greater outrage: Iran’s state-sanctioned incitement to commit genocide. Simply put, the denial of genocide became a media event, but incitement to genocide in violation of the prohibition against the “direct and public incitement to commit genocide” in the Genocide Convention, the “never again” convention, was greeted with a yawn.

Is this what we would call the stand of the Genocide Convention even after sixty years of its establishment? The convention though neutrally framed for the world yet has turned into a pet of selected few. The humanitarian situation is worse than is still generally appreciated. In practice, the Genocide Convention has been pretty much a dead letter (as the world’s current response to Darfur illustrates all too well). There have been few occasions when outside intervention interrupted large-scale mass murder while it was still happening. But in virtually all those cases, and in all the cases that involved serious military conflict, this was a side-effect of military interventions carried out for other strategic or political purposes.

Furthermore, the record of the so-called “international community” in bringing mass murderers to justice has not been very inspiring. Sometimes real politics plays a role here. In the case of Cambodia, even after the Khmer Rouge were dislodged from most of Cambodia by the Vietnamese they continued to get recognition and support for years from the US and China, as well as sanctuary across the border in Thailand. They were also allowed to keep control of Cambodia’s UN seat until 1993. All of which were unforgivable, but not astonishing. Within Cambodia, the new rulers installed by the Vietnamese, who are still running the country, were ex-Khmer Rouge themselves, and this may partly explain why they have showed little enthusiasm for trials that would revisit old times. Apart from that the holocaust in Burma-Myanmar has been barely subjected to any kind of trial. Decades after the Cambodian bloodbath, the mass murderers are still at loose. The assassination of Saddam Hussein and the U.S.A army taking over Iraq seemed more or less a part of a longing profitable business.

Indian Perspective

There have been similar incidents in India too where no international community has taken a firm step against it. The infamous Nandigram, India incident in short has just been left stranded to be a ball in the media’s court. The long discussion regarding the Kashmir issue has been a mere issue which is only used for hype and publicity. Geneva Convention is not at all respected in the Kashmir Valley. There are umpteen numbers of human rights violation cases recorded. Muslims killing Kashmiri Pundits is one aspect. Indian Security Forces have scant regard for humanitarian law. The do not stick to the norms laid down by the Geneva Convention in dealing with the prisoners of war. Only in Doda in the year 1994 two hundred women were raped. Rape continues to be a major instrument of Indian repression against the Kashmiri people while the majority of casualties in Kashmir are civilians. A total of 72,077, representing nearly 98 per cent of the Pundit population, were driven out of Kashmir due to ethnic cleansing. 9,309 homes have been burned down along with 1,659 small businesses. The sad part is that the Kashmir issue gets so wrapped up in global concerns on one side and obfuscated by massive state-sponsored propaganda on the other that so few people know about the tragic state of Kashmiri Pundits.

What happened in Gujarat was not a spontaneous uprising; it was a carefully orchestrated attack against Muslims. The Godhra, Gujarat massacre in India has been just news and a mere matter to express the grief of the so-called “international community” leaving thousands of Indian Muslims dead and helpless. Aren’t these the acts of Genocide? Where is the Genocide Convention playing a role to achieve its goal of curbing the heinous act of genocide worldwide?

The crime of genocide in domestic law and the domestic prosecution of persons committing genocide are subjects of international significance. Correspondingly, the failure of nations to enact laws against genocide, crimes against humanity and war crimes are matters of international concern. For example, in April 1999, a Swiss court threw out the charge of genocide in the trial of Rwandan mayor, Fulgence Niyonteze, because the crime of genocide was not at that time a part of Swiss law. Many countries have more effective laws for air piracy (hijacking) than for genocide.
The failure of countries to prosecute or extradite perpetrators of genocide, crimes against humanity and war crimes has become a matter of tremendous international interest since the October 1998 arrest of former Chilean dictator Pinochet in the United Kingdom on Spanish charges of torture and genocide. Pinochet was released in March 2000 and allowed to return to Chile, but his case has become a crucial turning point in the effort to bring an end to impunity for torture, genocide and other international crimes.

The Security Council is entitled to intervene, or to authorize intervention in order to prevent persecution of ethnic minorities. Since the end of the Cold War, the Security Council cannot be seriously questioned regarding the same. Here we can somewhat say that the starting point was Resolution 688, authorizing the use of force against Iraq in order to protect the Kurdish minority from atrocities. Though late but there have been attempts to save the Burma-Myanmar Genocide victims. But the issue is not whether the international community may intervene but rather whether it must intervene when a group protected by the Genocide Convention is threatened with extermination.

Its better late then never, the anguish within the international community as the reaction to the genocide victims and its deliberate and honest efforts implies that there will be prompt action to prevent a future genocide.

CONCLUSION

The failure to prevent past genocides caused UN Secretary-General Kofi Annan to lament as follows on the occasion of the 10th anniversary of the Rwandan genocide in 2004: “We must never forget our collective failure to protect at least 800,000 defenseless men, women and children who perished in Rwanda 10 years ago. Such crimes cannot be reversed. Such failures cannot be repaired. The dead cannot be brought back to life. So, what can we do?”

The answer is for the international community to pay heed to the early warnings of genocide – and incitement has been demonstrated to be a predictor of the genocide to come – and to act now, as mandated under the Genocide Convention, to prevent this clear and present danger, not only to Israel and the Jewish people, but to international peace and security.

The international community needs to review on few matters regarding the weakened application of the Genocide Convention. There should be serious amendments in the meaning of genocide stated under Article II of the convention in order to broaden its scope. With the passage of time the technology is racing in full throttle so is the criminal minds. The holocaust is not at all restricted but growing along with technology which has given rise to new terminology such as democide, populicide, politicide, etc.

The law and politics of genocide stagnated for several decades following the adoption of the convention in 1948. The thinking and writing about its scope since 1948 have been meager and sometimes superficial, with a few notable exceptions. When the horrors of ethnic conflict became the scourge of the last decade of the millennium, the convention was, so to speak, hauled off the shelf and dusted off. Unlike other human rights treaties, there has been no “treaty body” or committee charged with ensuring the Genocide Convention’s implementation and helping to define its content.

Despite being a member of the treaty, the member states treat the Convention like a dead- letter. What is really required is a formal recognition of the duty to intervene to prevent genocide. That would require serious amendments of the Genocide Convention through the UN and a serious enforcement of the same in the state laws individually. Whatever the means is, if the message is clear it will be taken as authoritative interpretation of the convention’s obligation to prevent genocide. Political scientist R. J. Rummel described the concept of Democide not with an intention that the world would be cognizant of the term but to alert the international community of the fast growth and broadening ambit of the Holocaust.

Genocide have tended to wholly equate it with the murder and only the murder by government of people due to their national, ethnical, racial or religious (or, what is called indelible) group membership. This way of viewing genocide has become so ingrained that it seems utterly false to say. The crime leaders have invented new ways to suffice their lust for hue and cry.
A human being is complete when he has his body and soul together, if one of them dies the existence of a human is completely worthless. The presence of soul and conscience makes a person different from an animal. Isn’t the continuous growth of rape victims, compelling the downtrodden to commit suicide (the increasing rate of rapes through out the world, the suicide of Indian farmers) by the corrupt officials and the government burying their heads in the sand instead of solving the problem, commit mass-murder impliedly? The convention needs to be more focused on the new genre of mayhem with the appointment of innovative monitoring staff to keep a prompt eye on occurrence world wide. In an era of globalization, the United States alone cannot exert effective pressure on the government of a despotic nation without multilateral cooperation. The international effort to combat tyranny worldwide lies solely in words, not actions, as evidenced by the refusal of rest of the world nations to take a strong stand against the Government indulged in genocidal activities. From classification to organization, preparation through extermination, genocide is something that the whole world has witnessed. Stopping genocide during its first six stages is more logical than attempting to stop it during its seventh stage, extermination. As a global community it is our job to learn these steps, so when the phases of genocide begin we can prevent them from progressing and save millions of lives.

Genocide is first and foremost a crime (and only secondarily a historical event or sociological process). Therefore a judgment as to whether a specific act is an act of genocide should eventually be made by a court having jurisdiction over the crime. When a crime is ongoing (or when the perpetrators are likely to repeat the offense) of special urgency is the duty of governmental authorities to enforce the law by acting to halt or suppress the crime. In such cases enforcing the law means protecting potential victims and apprehending suspected perpetrators.

Litigating in the Enlightened Age of Mediation in Ontario, Canada – Drafting Pleadings

Mediation is a cornerstone of the justice system in this province.

Ontario Chief Justice Warren Winkler, April 21, 2008

The view counsel takes of mediation will drive your approach to the case from the first meeting with your client until the dispute is resolved.

Less than a generation ago, litigation lawyers gave advice on based only on how the trial judge or the judge and jury were likely to view the facts and the law of the case. In retrospect, this was rather surprising because even in the last decades of the previous millennium, when the trend to mediated settlements was in its infancy, more than 90% of cases settled before trial.

Back then, however, lawyers approached pleadings with a minimalist philosophy. Good young counsel were taught by their senior principals in the fine art of “skinny pleadings.” The objective was to give away as little of the case as possible and get to trial as quickly as possible. Senior counsel spoke of “knocking off a Statement of Claim in five minutes” and using as much “boilerplate” language as possible. A pleading, replete with evidence and full of “he said”, “she said”, was typically the mark of a lawyer who did not practice much litigation or of counsel who was too busy to properly mentor his freshly-minted junior.

Upon further reflection, the old approach was understandable. Before the advent of mediation as an ubiquitous and highly effective dispute resolution mechanism, settlements were all too frequently driven by a call from the Trial Office that the case would be called for trial “next week” and the Trial Scheduling Judge was not tolerating requests for adjournments lightly. Amid cries of Yikes!, and Where’s the file! a small voice whispered, How about calling the other side to negotiate a settlement? What a brilliant idea! Many cases settled as much to avoid having to prepare for trial than on the basis of the merits of the case. Some cynics may argue not much has changed. Some traditionalists will claim we are being too cynical.

At the end of 2009, we have entered the Enlightened Age of Mediation. As Ontario Chief Justice Winkler said 18 months ago, Mediation is the cornerstone of the justice system in this province. Mediated settlements, not trials and appeals, not even summary judgment motions, have become the most likely way to resolve a dispute.

Aha, you say: So, how much can get for my dusty court robes? and Thank goodness, we won’t have to spend any more money on those expensive CLE programs on written and oral advocacy. Not so fast, Mickey. In the “Enlightened Age of Mediation, written and oral advocacy skills are more important than ever.

Good advocacy begins with excellent and persuasive pleadings. Excellent and persuasive pleadings require an insightful appreciation of the litigation process in the context of the new Rules of Civil Procedure which come in to effect on January 1, 2010. Persuasive pleadings must, more than ever, be drafted with mediation in mind.

Some things have not changed. Wordy, unpersuasive pleadings are still the mark of counsel who has failed to appreciate the importance that a good first impression of your client’s case makes. Unpersuasive pleadings are also the mark of the litigator who has not identified the target audiences of his/her client’s case and may be missing out on important opportunities to achieve a successful and possibly, early resolution of the dispute.

The theme of Igor Ellyn’s 2003 paper was that since the prospect of reaching trial was less than 5%, pleadings should be drafted with target audiences who are most likely to be persuaded by your client’s case in mind. The target audiences of the statement of claim or statement of defence and counterclaim you draft in the privacy of your office will be read by a surprisingly large number of people, including:

o Other lawyers, law clerks and students in your firm
o Your client
o Members of your client’s family
o If the client is a corporation, members of the corporation’s management
o The client’s in-house counsel or corporate solicitor
o Your referring lawyer
o The opposing party or parties
o Members of the opposing party’s family
o If the defendant is a corporation, members of the corporation’s management
o Opposing party’s counsel and others in her/his firm
o The defendant’s insurance adjuster and insurance claims manager
o The mandatory mediator at a pre-discovery mediation
o The case management Master at a motion or case conference
o The judge or master on pleading or particulars motions
o The judge or master on a motion for summary judgment
o The master on a post-discovery refusals motion
o The judge or master at the settlement conference or pre-trial conference
o The private mediator at a post-discovery mediation
o The judge who conducts the in-trial settlement conference
o The trial judge
o The judges of the Court of Appeal

Many of the above readers, other than the summary judgment, the trial judge and the judges of the Court of Appeal, will be key parts of the process of finding a voluntary, alternative resolution of the dispute by negotiation or mediation. Even if each category of reader represents only a single person (which is unlikely), there are more than 22 potential readers of your first public presentation of your client’s position in the action: the Statement of Claim or the Statement of Defense and Counterclaim.

Attitudes to Mediation and Settlement

While we are not sure which is the chicken and which is the egg, the enlightenment of mediation is either the result or the cause of a new approach to advocacy. Gone are the days when the advocate’s role was solely to careen toward trial like an out of control train. Clients may still be looking for the toughest lawyer and the lawyer who will not compromise under any circumstances but we now know that this is not what produces the results our clients are looking for.

In fact, a study published in the Journal of Empirical Legal Studies in September 2008, quantitatively evaluated the incidence and magnitude of errors made by lawyers and clients in unsuccessful settlement negotiations. The study analyzed more than 2000 cases in which settlement negotiations broke because the plaintiffs refused to accept the defendants’ last offer and proceeded to trial. The study found that in more than 60% of the cases, the plaintiffs recovered less at trial than the settlement offer. The study concluded that overall, clients are happier when the case settles because of the avoidance of risk and closure the settlement produces.

In an anecdotal 2001 study by Windsor law Professor Julie Macfarlane, forty commercial lawyers in Toronto and Ottawa were interviewed to determine their attitudes to mediation. Professor Macfarlane summarized lawyers’ attitudes towards mediation into five categories:

  • The True Believer finds that mediation has significantly affected his/her practice; sees conflict between the adversarial litigation role and that of peace facilitator in mediation.
  • The Pragmatist finds mediation attractive due to time and cost efficiencies; generally sees no conflict between the mediation and litigation roles.
  • The Instrumentalist views mediation as a strategic tool to promote adversarial interests and goals.
  • The Dismisser sees mediation as equivalent to traditional negotiation; considers mandatory mediation an intrusion by the court.
  • The Denier sees mediation as a threat to the integrity of the role of the lawyer; strongly opposes mediation.

While it is too much to expect all litigators will become True Mediation Believers and Mediation Pragmatists, the Dismissers and Deniers have to accept that the Mediation Train has left the station and enlightened litigators simply have to be on it to succeed. In the Enlightened Age of Mediation, the question is not Will there be a mediation? but rather, how can the mediation be made more effective to increase the prospects for settlement of the dispute? We submit that the successful mediated settlement track begins with persuasive pleadings.

Our point that persuasive pleadings are your first opportunity to communicate the righteousness of your client’s case to the opposing party while underscoring the weaknesses of the defendants’ position and their exposure to adverse consequences was also recently made in a well-written paper recently submitted to an OBA CLE seminar by Renato Gasparotto and Michael Polvere. The authors emphasize that at the heart of good advocacy is the effective of use of language and a realistic understanding and assessment of the supporting facts, well-organized and clearly expressed. To this we add, that there has to be a mindset, a format and an understanding of the law.

The New Ontario Rules of Civil Procedure

The new Rules of Civil Procedure, which come into effect on January 1, 2010, are intended to make the civil justice system more accessible and affordable for Ontarians. There has been a shocking increase in the number of unrepresented litigants. The November 2007 Civil Justice Reform Project under the able chairmanship of former Ontario Associate Chief Justice Coulter A. Osborne, QC recommended better and less expensive access to the Courts with more mechanisms to promote early settlement.

Most of the amendments make it easier to take a case off the litigation track and put it on the mediation track. Of course, this does not mean litigants lose their opportunity to have their day in Court if settlement is impossible. However, the new system recognizes that most cases will settle by mediation or by counsel applying mediation principles and negotiating settlement themselves.

Under the new Rules of Civil Procedure, more cases will settle before trial, because:

o more cases will be subject to mandatory mediation. All cases in Toronto, Ottawa and Windsor which do not fall within the specific exceptions in new Rule 24.1.04(2) are subject to mandatory mediation.
o All simplified rules cases in Toronto, Ottawa and Windsor are subject to mandatory mediation.
o The cap or ceiling for simplified rule cases increases to $100,000.00.
o There is more flexibility as to the timing of a mandatory mediation. Rule 24.1.09(1) permits the mediation to take place within 120 days after the first defence was filed. Also, the parties may consent to postpone the mediation to a later date. This flexibility enables counsel to delay the mediation until enough documentary and oral discovery has taken place to enable parties to better understand each other’s positions and what evidence will be adduced at trial.

Matters to consider before you draft your pleading

It is not enough to draft the bare minimum when it comes to pleadings. A good lawyer will use every tool s/he has to advocate on behalf of a client, and a strong pleading is the first step.

Preparation and Investigation

Pleadings should not be skinny. They should be used by counsel to present the best face of their client’s case with the information available to them at that time. Much can be done to prepare persuasive pleadings even before discovery. Before you begin to draft your pleading, make sure that you have done the following:

o Speak to your client(s) at length and get their full story in detail
o Speak to potential trial witnesses
o Hire a private investigator
o Ask your client for a chronology of key events in the case
o Review the chronology in detail and identify what documents are likely to exist
o Press your client to provide all documents related to the case in any way
o Don’t forget documents in electronic format; get all of the emails
o Organize and read the documents your client sends
o Prepare your own chronology of the events from an advocacy perspective
o Identify the factual and legal issues in dispute
o Identify the remedies your client hopes for
o Now is the time to research all of the applicable issues of law
o Balance your client’s hopes with an analysis of what is achievable
o Identify all your causes of action and ensure you have the proper “test”
o Identify all applicable statutes, rules, regulations and maxims
o Identify all defences, including limitation periods, which are now very short
o Assess whether to Crossclaim, Counterclaim or Third Party
o Critically review precedent pleadings in your office or on databases

Oral and Documental Discovery

Under the new Rule 29.1 counsel are required to agree to, and to update, a written discovery plan. In their discovery plan counsel will jointly decide when the Affidavit of Documents will be exchanged. Where the parties have failed to agree to or update a discovery plan in accordance with Rule 29.1, and where a party has brought a motion under Rules 30-35 (the discovery rules) the court may refuse to grant any relief or to award any costs.

As for examinations for discovery, gone are the days of endless hours and days of examinations. Under Rule 31.05.1(1) there is now a 7 hour time limit on the length of examinations for discovery per party.

To encourage counsel to discuss settlement earlier in the action, parties in Rule 76 Simplified Rules cases will have the opportunity to examine an opposing party for discovery but it shall not “exceed a total of two hours of examination, regardless of the number of parties or other persons to be examined.” As there are no transition rules, claims between $50,000.00 (the old simplified rules cap) and $100,000.00 (the new simplified rules cap) will also only be allowed two hours of examinations for discovery; whereas before they were allowed unlimited days for examination for discovery.

Drafting effective pleadings

Instead of drafting skinny pleadings, which limit the information provided, counsel should see pleadings as an opportunity to persuade the primary target audiences of its merits. Persuasion is in part a presentation art form. As set out in Igor Ellyn’s April 2003 paper, a good pleading should not:

o lack eye appeal or is unreadable due to font size or other factors
o be too wordy or contain spelling or grammar errors
o be vague, unparticularized and difficult to follow
o contain more than one major thought per paragraph
o exaggerate or misstate important facts
o fail to disclose a reasonable cause of action
o raise remedies without pleading the elements required to prove them
o contain allegations bound to anger the other party
o allege fraudulent conduct without sufficient particulars or that cannot be proved
o allege fraudulent conduct which makes insurance inapplicable
o seek damages for “pie in the sky” unrecoverable amounts
o seek punitive damages when they could never be recovered
o seek punitive damages for unreasonable amounts

In 1996, Justice Paul Perell, whose expertise about pleadings was well-recognized before he was appointed to the Ontario Superior Court of Justice in 2005, published an excellent article entitled “The Essentials of Pleading”. Although the article was published 13 years ago, it is still a useful guide for what should and should not be pleaded. Persuasive pleadings should be civil, reasonable and measured. Good pleadings are a powerful advocacy tool to present the strengths of your client’s case while exposing the weakness of the opposing party’s position.

You know there will be a mediation

Almost as sure as the sun will rise tomorrow, there will be a mediation in your case; unless your client gives up or the defendant goes bankrupt early in the case. We recognize that there some obstinate litigants who refuse to participate in a mediation and some who want their day in court “no matter what”. In our experience, even most of these will eventually find their way to mediation, which may settle the whole case. Rule 24.1 requires that early on, before discovery is completed, a mandatory mediation be held. Non-mandatory mediations are also arranged in most cases.

Drafting pleadings with mediation in mind means that the statement of claim should be a more thorough statement of the plaintiff’s claim than it has been in the past. To the extent that the Rules allow, the statement of claim should prepare counsel for the mandatory mediation which will soon take place. Under Ontario’s mandatory mediation process, the parties are required to submit a Statement of Issues. A well drafted pleading assists counsel in drafting their statement of issues or mediation brief.

Well-drafted pleadings will assist counsel in settling the case. An effective pleading assists in the preparation of the Statement of Issues or Mediation Brief. A lot of the work required for the mediation has already been completed:

o the facts of the case are already set out in an easy to follow chronology
o it may be easier to forge an agreed statement of facts
o turned their mind to the issues in dispute in the action
o researched the case law
o identified and referred to the applicable statutes, rules and maxims

The only difference between the pleadings and the Statement of Issues and Mediation Brief is that the pleadings will not contain matters which compromise the claim. The pleadings are not without prejudice whereas the mediation brief is.

Pre-Trial Conferences

All parties of cases that fall under the new Rule 76 Simplified Rules are required to attend a pre-trial conference in front of a Master or Judge; arranged by the registrar within 90 days after the action is set down for trial.

Rule 50, which deals with pre-trial conferences, has been completed revamped. When the Rule amendments were introduced, the Attorney General noted that the government hopes to encourage settlement and the narrowing of trial issues by mandating pretrial conferences. The purpose of Rule 50 is to provide an opportunity for any or all of the issues in a proceeding to be settled without a hearing. The new rules also will require parties to file a detailed conference briefs. Parties and counsel must appear at pre-trial conferences, and courts will be empowered to order a timetable for moving forward when matters are not settled at the conference, said the ministry.

Judges are more knowledgeable about mediation than they were a decade ago. Indeed many judges are very skilled mediators. The pre-trial conference is a mediation opportunity. Counsel knows that the pre-trial judge will read the pleadings. Well- drafted pleadings, which tell a clear, concise, persuasive story in short sentences and short paragraphs will assist the pre-trial judge in understanding your case.

A few words of wisdom from the pre-trial judge can have a major impact on the direction of the case. A party quickly begins to talk settlement when the pre-trial judge says: “Look, we assess risk here every day. You don’t have to settle but if I were the trial judge, you’d have a still uphill climb to persuade me of your position. Another judge might see it differently but… If the defendant is represented by counsel for an insurance company, the lawyer will have report to his client. An acceptable settlement offer may soon follow.

In such situations, the likelihood of reaching a settlement depends on good advocacy and effective negotiations. Good advocacy begins with good pleadings, which put your client’s best foot forward and persuade the opposing party that you are competent counsel who will effectively advance the strengths of your client’s case and expose the weaknesses of the defendant’s case at trial if there is no settlement.

Case and Settlement Conferences

Old Rules 77 (Civil Case Management) and 78 (Toronto Civil Case Management) are revoked as of January 1, 2010. In its place, the new Rule 77, which applies to proceedings in Ottawa, Toronto and Windsor, incorporates the old Rules and adds some new elements. The new rule mandates case conferences and settlement conferences throughout the action. Each of these events represents an opportunity to obtain the assistance of the Court in narrowing the issues and possibly, settling the action. Good pleadings may assist in achieving these objectives.

Conclusion

In the Enlightened Age of Mediation, the trial is no longer the usual end game of the litigation process. With the ever increasing cost of litigation, the most likely resolution will be a mediated settlement. It is likely to save money and achieve a better result than the risk of a trial and an appeal. Coincidentally, this is what your clients are hoping for.

Pleadings which make a strong but reasonable case to your target audiences are more likely to be persuasive and will assist you in negotiating a better settlement for your client at mediation or sooner.