Confidentiality and victim-offender mediation

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Tilburg University

Confidentiality and victim-offender mediation

van Schijndel, R.A.M.

Publication date: 2009

Document Version

Publisher's PDF, also known as Version of record Link to publication in Tilburg University Research Portal

Citation for published version (APA):

van Schijndel, R. A. M. (2009). Confidentiality and victim-offender mediation. Maklu Uitgevers.

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CHAPTERȱ1ȱ–ȱOVERVIEWȱANDȱPURPOSEȱOFȱSTUDYȱȱ ȱ ȱ ȱ ȱ

1ȱ

OverviewȱandȱPurposeȱofȱStudy

ȱ ȱ ȱ 1.1ȱ BackgroundȱofȱtheȱResearchȱ ȱ

Theȱ conceptȱ ofȱ mediationȱ asȱ aȱ meansȱ ofȱ conflictȱ resolutionȱ hasȱ rapidlyȱ spreadȱ aroundȱ theȱ world.ȱ Itȱ isȱ usedȱ toȱ solveȱ civilȱ andȱ administrativeȱ disputes,ȱ butȱ isȱ alsoȱ increasinglyȱ consideredȱ aȱ significantȱ wayȱ ofȱ dealingȱ withȱ crime,ȱ asȱ anȱ alternativeȱ orȱ anȱ additionȱ toȱ traditionalȱ criminalȱ proceedings.ȱ

Theȱ growingȱ attentionȱ forȱ victimȬoffenderȱ mediationȱ andȱ itsȱ benefitsȱ hasȱ instigatedȱ theȱ callȱ forȱ principlesȱ andȱ rulesȱ governingȱ theȱ practiceȱ ofȱ penalȱ mediation.ȱ Thisȱ hasȱ ledȱ toȱ theȱ developmentȱ ofȱ internationalȱ protocolsȱ thatȱ promoteȱ andȱ facilitateȱ theȱ institutionalisationȱ andȱ useȱ ofȱ victimȬoffenderȱ mediation.ȱ Articleȱ 10ȱ ofȱ theȱ EUȱ Frameworkȱ Decisionȱ onȱ theȱ Standingȱ ofȱ Victimsȱ inȱ Criminalȱ Proceedings1_{ȱ exhortsȱ memberȱ statesȱ toȱ promoteȱ} mediationȱinȱcriminalȱcasesȱforȱoffencesȱwhichȱtheyȱconsiderȱappropriateȱforȱ thisȱ sortȱ ofȱ measure.ȱ Inȱ addition,ȱ theȱ Councilȱ ofȱ Europe2_{ȱ andȱ theȱ Unitedȱ} Nations3_{ȱhaveȱbothȱissuedȱaȱsetȱofȱprinciplesȱforȱvictimȬoffenderȱmediation.ȱ}

Althoughȱ theȱ addedȱ valueȱ ofȱ victimȬoffenderȱ mediationȱ isȱ widelyȱ acknowledged,ȱasȱisȱtheȱneedȱforȱclearȱandȱuniformȱguidelines,ȱmediationȱinȱ criminalȱcasesȱlacksȱaȱstatutoryȱbasisȱinȱmanyȱcountries.ȱTheȱmainȱemphasisȱ hasȱ beenȱ onȱ theȱ advantagesȱ ofȱ victimȬoffenderȱ mediationȱ visȬàȬvisȱ theȱ criminalȱ justiceȱ systemȱ andȱ onȱ howȱ toȱ maximiseȱ theseȱ advantagesȱ withoutȱ violatingȱ theȱ interestsȱ ofȱ victimsȱ andȱ offenders.ȱ Whileȱ thisȱ isȱ anȱ importantȱ aspectȱ ofȱ promotingȱ theȱ useȱ ofȱ victimȬoffenderȱ mediation,ȱ attentionȱ shouldȱ alsoȱbeȱpaidȱtoȱpositioningȱtheȱprocedureȱwithinȱtheȱlegalȱsystem.ȱInȱorderȱtoȱ realiseȱtheȱpotentialȱofȱvictimȬoffenderȱmediationȱtoȱdealȱwithȱcrimeȱthroughȱ theȱ establishmentȱ ofȱ aȱ dialogueȱ betweenȱ victimsȱ andȱ offenders,ȱ theȱ proceduralȱ requirementsȱ andȱ implicationsȱ ofȱ theȱ processȱ shouldȱ alsoȱ beȱ considered.ȱ Dueȱ toȱ itsȱ focus,ȱ penalȱ mediationȱ playsȱ aȱ roleȱ withinȱ theȱ legalȱ systemȱandȱcanȱinteractȱwithȱcriminalȱandȱcivilȱlaw.ȱAsȱaȱresult,ȱtheȱdesignȱofȱ theȱ mediationȱ procedureȱ shouldȱ notȱ onlyȱ concentrateȱ onȱ safeguardingȱ theȱ benefitsȱofȱtheȱprocess,ȱbutȱalsoȱonȱitsȱcoexistenceȱnextȱtoȱtheseȱlegalȱareasȱofȱ theȱlaw.ȱȱ

ȱ

Oneȱofȱtheȱmainȱproceduralȱrequirementsȱthatȱisȱgenerallyȱconsideredȱtoȱbeȱ necessaryȱ forȱ aȱ properȱ functioningȱ ofȱ mediationȱ isȱ theȱ principleȱ ofȱ confidentiality.ȱ Thisȱ principleȱ isȱ includedȱ inȱ theȱ Councilȱ ofȱ Europeȱ

1ȱȱ CouncilȱFrameworkȱDecisionȱofȱ15ȱMarchȱ2001,ȱ2001/220/JHAȱ(OJȱ2001ȱLȱ82/1).ȱ

2ȱȱ Recommendationȱ Rȱ (99)19ȱ concerningȱ Mediationȱ inȱ Penalȱ Mattersȱ Adoptedȱ byȱ theȱ CommitteeȱofȱMinistersȱ(15ȱSeptemberȱ1999).ȱ

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CHAPTERȱ1ȱ–ȱOVERVIEWȱANDȱPURPOSEȱOFȱSTUDYȱȱ ȱ ȱ ȱ ȱȱ

Recommendation4_{ȱ andȱ theȱ Unitedȱ Nationsȱ Basicȱ Principles}5_{ȱ mentionedȱ} above.ȱ Accordingȱ toȱ theseȱ internationalȱ protocols,ȱ allȱ thoseȱ involvedȱ inȱ mediationȱ(theȱvictim,ȱtheȱoffender,ȱtheȱmediator,ȱandȱtrustedȱthirdȱparties)ȱ areȱ expectedȱ toȱ keepȱ quietȱ aboutȱ theȱ thingsȱ saidȱ andȱ doneȱ duringȱ theȱ mediationȱ process.ȱ Althoughȱ itȱ isȱ beyondȱ doubtȱ thatȱ victimȬoffenderȱ mediationȱ benefitsȱ fromȱ aȱ banȱ onȱ indiscriminateȱ disclosureȱ ofȱ itsȱ contents,ȱ theȱ questionȱ arisesȱ whetherȱ exceptionsȱ shouldȱ beȱ madeȱ toȱ thisȱ rule.ȱ Observingȱ secrecyȱ unconditionallyȱ impliesȱ thatȱ victimsȱ andȱ offendersȱ areȱ notȱ allowedȱ toȱ discussȱ theȱ processȱ theyȱ haveȱ beenȱ involvedȱ inȱ with,ȱ forȱ example,ȱ theirȱ familyȱ andȱ friends,ȱ andȱ thatȱ theȱ contentsȱ ofȱ aȱ mediationȱ cannotȱbeȱdisclosedȱinȱcourt,ȱalthoughȱsuchȱinformationȱmayȱconceivablyȱbeȱ relevantȱinȱtheȱlightȱofȱsubsequentȱjudicialȱproceedings.ȱ

Theȱ wordingȱ ofȱ theȱ principleȱ ofȱ confidentialityȱ inȱ theȱ internationalȱ protocolsȱ illustratesȱ howȱ theȱ topicȱ ofȱ victimȬoffenderȱ mediationȱ wasȱ addressedȱinȱtheȱpast.ȱTheȱfocusȱwasȱmainlyȱonȱimprovingȱtheȱqualityȱofȱtheȱ mediationȱ procedureȱ itself.ȱ Littleȱ attentionȱ wasȱ paidȱ toȱ theȱ legalȱ conceptsȱ victimȬoffenderȱmediationȱmayȱinteractȱwithȱandȱtoȱproblemsȱthatȱmayȱriseȱ inȱ thisȱ respect.ȱ Mediationȱ confidentialityȱ isȱ particularlyȱ susceptibleȱ toȱ problems,ȱbecauseȱtheȱcurrentȱinterpretationȱofȱtheȱconfidentialityȱprincipleȱ doesȱ notȱ takeȱ intoȱ accountȱ howȱ theȱ resultingȱ banȱ onȱ disclosureȱ mayȱ affectȱ victimsȱ andȱ offenders.ȱ Theȱ consequencesȱ ofȱ theȱ principleȱ ofȱ confidentialityȱ forȱtheȱmediationȱparticipantsȱhaveȱhardlyȱbeenȱrecognised,ȱwhileȱtheseȱareȱ veryȱ likelyȱ toȱ occurȱ inȱ areasȱ whereȱ theyȱ canȱ haveȱ aȱ strongȱ impactȱ onȱ theȱ participants’ȱ lives;ȱ accordingȱ toȱ theȱ advocatedȱ scopeȱ ofȱ theȱ principleȱ ofȱ confidentiality,ȱ mediationȱ participantsȱ cannotȱ talkȱ toȱ theirȱ socialȱ environmentȱaboutȱtheȱmediation,ȱnorȱareȱtheyȱallowedȱtoȱsubmitȱmediationȱ informationȱinȱcriminalȱorȱcivilȱcourt.ȱȱ

Asȱ victimȬoffenderȱ mediationȱ aimsȱ atȱ enablingȱ victimsȱ andȱ offendersȱ toȱ comeȱtoȱtermsȱwithȱeachȱotherȱandȱtheȱcrimeȱthatȱhasȱhappened,ȱtheȱpointȱofȱ departureȱ shouldȱ atȱ theȱ veryȱ leastȱ beȱ thatȱ mediationȱ doesȱ notȱ addȱ toȱ theirȱ distress;ȱ drawbacksȱ ofȱ theȱ confidentialityȱ principleȱ shouldȱ beȱ avoided.ȱ Consequently,ȱ frictionsȱ betweenȱ victimȬoffenderȱ mediationȱ andȱ relatedȱ systems,ȱ suchȱ asȱ criminalȱ andȱ civilȱ law,ȱ shouldȱ beȱ resolvedȱ inȱ orderȱ toȱ beȱ ableȱtoȱpositionȱpenalȱmediationȱonȱaȱsolidȱandȱpracticableȱfooting.ȱ

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CHAPTERȱ1ȱ–ȱOVERVIEWȱANDȱPURPOSEȱOFȱSTUDYȱȱ ȱ ȱ ȱ ȱ 1.2ȱ ResearchȱQuestionȱandȱObjectivesȱ ȱ

Theȱ backgroundȱ toȱ theȱ researchȱ describedȱ inȱ theȱ previousȱ sectionȱ canȱ beȱ capturedȱinȱtheȱfollowingȱresearchȱquestion:ȱ

ȱ

Shouldȱ exceptionsȱ beȱ madeȱ toȱ theȱ strictȱ confidentialityȱ regimenȱ whichȱ emanatesȱ fromȱ theȱ basicȱprinciplesȱgoverningȱtheȱprocessȱofȱvictimȬoffenderȱmediation,ȱand,ȱifȱso,ȱtoȱwhatȱextentȱ andȱonȱwhatȱgrounds?ȱ

ȱ

Theȱ principleȱ ofȱ confidentialityȱ isȱ consideredȱ oneȱ ofȱ theȱ mainȱ standardsȱ ofȱ victimȬoffenderȱmediation.ȱItsȱcurrentȱinterpretationȱmayȱcauseȱfrictionsȱthatȱ mayȱnecessitateȱdisregardingȱtheȱconfidentialityȱruleȱinȱsomeȱsituations.ȱThisȱ researchȱaimsȱatȱidentifyingȱtheseȱpossibleȱexceptionsȱinȱorderȱtoȱdetermineȱ theȱpreferableȱextentȱofȱmediationȱsecrecy.ȱAȱnecessaryȱelementȱofȱthisȱisȱtoȱ examineȱ theȱ groundsȱ onȱ whichȱ legitimateȱ exceptionsȱ toȱ theȱ principleȱ ofȱ confidentialityȱ couldȱ andȱ shouldȱ beȱ made.ȱ Ifȱ andȱ whereȱ appropriate,ȱ guidelinesȱ willȱ beȱ developedȱ toȱ determineȱ theȱ scopeȱ ofȱ theseȱ possibleȱ exceptions.ȱȱ ȱ ȱ 1.3ȱ ResearchȱApproachȱ ȱ Participationȱinȱmediationȱhasȱsignificantȱbenefitsȱforȱvictimsȱandȱoffenders.ȱ Itȱ offersȱ themȱ anȱ opportunityȱ toȱ shareȱ theirȱ experiencesȱ andȱ toȱ reachȱ anȱ agreement.ȱSinceȱaȱfreeȱexchangeȱofȱinformationȱisȱaȱsubstantialȱconstituent,ȱ itȱ isȱ generallyȱ acknowledgedȱ thatȱ victimȬoffenderȱ mediationȱ shouldȱ takeȱ placeȱinȱaȱprivateȱsetting.ȱThisȱallowsȱtheȱpartiesȱtoȱtalkȱaboutȱtheirȱcaresȱandȱ concernsȱwithoutȱrestraints,ȱandȱtoȱreachȱanȱagreementȱthatȱisȱbasedȱonȱtheirȱ trueȱ needsȱ andȱ interests.ȱ Theȱ confidentialȱ natureȱ ofȱ victimȬoffenderȱ mediationȱisȱlaidȱdownȱin,ȱinterȱalia,ȱtwoȱinternationalȱprotocolsȱ(seeȱSectionȱ 1.1).ȱTheseȱinternationalȱdocumentsȱhaveȱtheȱstatusȱofȱguidelinesȱ–ȱtheyȱareȱ notȱlegallyȱbinding.ȱNevertheless,ȱtheyȱdoȱexpressȱtheȱperceivedȱvalueȱofȱtheȱ principleȱ ofȱ confidentiality.ȱ Theȱ extentȱ ofȱ mediationȱ confidentiality,ȱ asȱ itȱ isȱ expressedȱ andȱ interpretedȱ inȱ theseȱ protocols,ȱ wasȱ thereforeȱ takenȱ asȱ theȱ startingȱpointȱofȱthisȱresearch:ȱmustȱallȱmediationȱinformationȱbeȱsubjectȱtoȱ secrecy,ȱorȱcanȱandȱshouldȱexceptionsȱtoȱthisȱruleȱbeȱmade?ȱ

Thusȱ far,ȱ theȱ topicȱ ofȱ confidentialityȱ inȱ victimȬoffenderȱ mediationȱ hasȱ scarcelyȱ beenȱ explored.ȱ Althoughȱ theȱ needȱ forȱconfidentialityȱisȱ recognisedȱ nationallyȱ andȱ internationally,ȱ domesticȱ mediationȱ programmesȱ andȱ legislationȱ generallyȱ doȱ notȱ addressȱ theȱ issueȱ inȱ detail.ȱ Asȱ aȱ result,ȱ littleȱ literatureȱ isȱ available.ȱ Whereȱ appropriate,ȱ theȱ availableȱ literatureȱ wasȱ thereforeȱ supplementedȱ withȱ relevantȱ sourceȱ materialȱ fromȱ relatedȱ areas,ȱ suchȱasȱ(criminalȱandȱcivil)ȱlaw,ȱvictimology,ȱandȱpsychology.ȱ

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CHAPTERȱ1ȱ–ȱOVERVIEWȱANDȱPURPOSEȱOFȱSTUDYȱȱ ȱ

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criminalȱ andȱ civilȱ law.ȱ Theirȱ mainȱ featuresȱ wereȱ consideredȱ inȱ theȱ lightȱ ofȱ variousȱ internationalȱ andȱ nationalȱ documents.ȱ However,ȱ victimȬoffenderȱ mediation,ȱ whichȱ incorporatesȱ legalȱ andȱ socialȱ aspectsȱ inȱ aȱ uniqueȱ way,ȱ cannotȱ beȱ studiedȱ withoutȱ takingȱ intoȱ accountȱ theȱ largeȱ bodyȱ ofȱ victimologicalȱ andȱ psychologicalȱ knowledgeȱ available.ȱ Empiricallyȱ derivedȱ insightsȱ fromȱ theseȱ areasȱ wereȱ thereforeȱ takenȱ intoȱ considerationȱ asȱ well.ȱ Theȱ researchȱ madeȱ useȱ ofȱ expertȱ studies,ȱ offeringȱ comprehensiveȱ andȱ detailedȱfindingsȱonȱvariousȱrelevantȱtopics.ȱTheyȱprovidedȱanȱanswerȱtoȱaȱ varietyȱofȱpertinentȱquestions,ȱandȱfurthermoreȱhelpedȱtoȱshedȱlightȱonȱnewȱ issuesȱthatȱwereȱofȱspecialȱrelevanceȱinȱtheȱcontextȱofȱthisȱresearch.ȱBasedȱonȱ theseȱlegal,ȱpsychological,ȱandȱvictimologicalȱsources,ȱtheȱvariousȱstepsȱ(seeȱ below)ȱneededȱtoȱanswerȱtheȱcentralȱresearchȱquestionȱwereȱaddressed.ȱ

Inȱ additionȱ toȱ theȱ aboveȬmentionedȱ sourceȱ material,ȱ thisȱ researchȱ madeȱ useȱ ofȱ relevantȱ examplesȱ ofȱ nationalȱ law.ȱ Theȱ goalȱ wasȱ toȱ determineȱ generalisableȱ examplesȱ forȱ theȱ situationsȱ concerned.ȱ Sinceȱ aȱ systematicȱ comparativeȱapproachȱwasȱunfeasible,ȱitȱwasȱnotȱendeavouredȱtoȱcompareȱaȱ fewȱlegalȱsystemsȱinȱdetail.ȱTheȱcountriesȱtoȱbeȱdiscussedȱwereȱselectedȱforȱ theirȱ potentialȱ toȱ illustrateȱ theȱ situationȱ orȱ theȱ effectsȱ ofȱ aȱ particularȱ suggestionȱ inȱ theirȱ legalȱ systems.ȱ Consequently,ȱ inȱ someȱ cases,ȱ theȱ differencesȱbetweenȱfamiliesȱofȱlaw,ȱsuchȱasȱcivilȱlawȱandȱcommonȱlaw,ȱwereȱ studied.ȱ Otherȱ issuesȱ requiredȱ aȱ moreȱ detailedȱ approachȱ andȱ calledȱ forȱ aȱ comparisonȱ betweenȱ civilȬlawȱ countriesȱ withȱ eachȱ other.ȱ Forȱ reasonsȱ ofȱ accessibilityȱ andȱ familiarity,ȱ aȱ relativelyȱ largeȱ numberȱ ofȱ examplesȱ wereȱ takenȱ fromȱ theȱ situationȱ inȱ theȱ Netherlands,ȱ butȱ onlyȱ whereȱ Dutchȱ regulationȱoffersȱgeneralȱandȱbroadlyȱapplicableȱexamples.ȱAsȱaȱresultȱofȱthisȱ approach,ȱtheȱresearchȱwasȱuniversalȱinȱcharacter,ȱandȱaimedȱatȱpresentingȱ generalisableȱresults.ȱȱ Theȱliteratureȱresearch,ȱtheȱchosenȱcomparativeȱapproach,ȱandȱtheȱauthor’sȱ informedȱviewsȱservedȱtoȱdevelopȱvariousȱstepsȱinȱformulatingȱanȱanswerȱtoȱ theȱcentralȱquestion.ȱMakingȱanȱexceptionȱtoȱtheȱprincipleȱofȱconfidentialityȱ impliesȱ thatȱ informationȱ fromȱ theȱ mediationȱ canȱ beȱ disclosedȱ inȱ particularȱ situations.ȱTheȱfrictionsȱthatȱmayȱresultȱfromȱunconditionalȱadherenceȱtoȱtheȱ principleȱ ofȱ confidentialityȱ canȱ relateȱ toȱ theȱ socialȱ environmentȱ ofȱ theȱ mediationȱ participantsȱ andȱ toȱ theirȱ involvementȱ inȱ judicialȱ proceedings.ȱ Ifȱ exceptionsȱ wereȱ formulatedȱ toȱ resolveȱ theseȱ frictions,ȱ theȱ informationȱ concernedȱ couldȱ thenȱ beȱ disclosedȱ bothȱ toȱ outȬofȬcourtȱ recipientsȱ andȱ inȱ court.ȱ Bothȱ settingsȱ requireȱ aȱ differentȱ approach,ȱ andȱ differentȱ factorsȱ shouldȱ beȱ takenȱ intoȱ considerationȱ toȱ assessȱ theȱ desiredȱ levelȱ ofȱ confidentiality.ȱ

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CHAPTERȱ1ȱ–ȱOVERVIEWȱANDȱPURPOSEȱOFȱSTUDYȱȱ ȱ ȱ

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ofȱtheseȱelementsȱmightȱbeȱneededȱforȱtheȱassessmentȱofȱeachȱfriction,ȱbutȱtoȱ answerȱ theȱ centralȱ question,ȱ allȱ ofȱ themȱ wereȱ necessary.ȱ Theȱ resultingȱ researchȱ frameworkȱ consistsȱ ofȱ threeȱ mainȱ pillars:ȱ victimȬoffenderȱ mediation,ȱ criminalȱ law,ȱ andȱ civilȱ law.ȱ Theȱ mainȱ characteristicsȱ ofȱ theseȱ pillarsȱ constitutedȱ theȱ basisȱ ofȱ theȱ frameworkȱ andȱ enabledȱ balancingȱ theȱ interestsȱinvolved.ȱȱ

ȱȱ

TheȱassessmentȱofȱtheȱissueȱofȱoutȬofȬcourtȱdisclosureȱtoȱthirdȱpartiesȱmainlyȱ consistedȱ ofȱ anȱ examinationȱ ofȱ theȱ psychologicalȱ effectsȱ ofȱ prohibitingȱ victimsȱ andȱoffendersȱ toȱ talkȱ toȱ othersȱaboutȱ whatȱ happenedȱ inȱmediation.ȱ Theseȱ implicationsȱ ofȱ observingȱ theȱ principleȱ ofȱ confidentialityȱ hadȱ toȱ beȱ weighedȱ againstȱ theȱ violationȱ ofȱ theȱ mediationȱ essentialsȱ inducedȱ byȱ aȱ breachȱ ofȱ thisȱ rule.ȱ Inȱ thisȱ context,ȱ onlyȱ theȱ firstȱ pillarȱ ofȱ theȱ researchȱ framework,ȱ regardingȱ theȱ featuresȱ ofȱ victimȬoffenderȱ mediation,ȱ wasȱ relevant.ȱForȱtheȱfrictionȱregardingȱoutȬofȬcourtȱdisclosure,ȱaȱdistinctionȱwasȱ madeȱ betweenȱ variousȱ categoriesȱ ofȱ outȬofȬcourtȱ recipientsȱ ofȱ theȱ informationȱconcerned.ȱTheȱspecificȱcharacteristicsȱofȱtheȱdifferentȱmediationȱ participantsȱ wasȱ paidȱ attentionȱ to,ȱ asȱ wasȱ theirȱ positionȱ inȱ victimȬoffenderȱ mediation.ȱAȱbasicȱpremiseȱwasȱtheȱstandardȱthatȱparticipationȱinȱmediationȱ shouldȱ atȱ theȱ veryȱ leastȱ notȱ addȱ toȱ theȱ participants’ȱ distress.ȱ Additionally,ȱ theȱ consequencesȱ ofȱ makingȱ exceptionsȱ forȱ theȱ mediationȱ procedureȱ itselfȱ wereȱtakenȱintoȱconsideration.ȱOnȱtheȱbasisȱofȱtheseȱcriteria,ȱtheȱdesiredȱlevelȱ ofȱconfidentialityȱinȱoutȬofȬcourtȱsituationsȱwasȱestablished.ȱȱ

ȱ

Exceptionsȱresultingȱinȱdisclosureȱinȱcourtȱimplyȱthatȱmediationȱinformationȱ canȱ beȱ submittedȱ inȱ judicialȱ proceedings.ȱ Asȱ aȱ result,ȱ theȱ tenabilityȱ ofȱ observingȱ orȱ breachingȱ theȱ confidentialityȱ ruleȱ notȱ onlyȱ hadȱ toȱ beȱ testedȱ againstȱtheȱcharacteristicsȱofȱvictimȬoffenderȱmediation,ȱbutȱalsoȱagainstȱtheȱ mainȱ featuresȱ ofȱ criminalȱ andȱ civilȱ law.ȱ Consequently,ȱ theȱ entireȱ researchȱ frameworkȱhadȱtoȱbeȱtakenȱintoȱconsideration.ȱȱ

Theȱ assumptionȱ thatȱ participationȱ inȱ victimȬoffenderȱ mediationȱ canȱ haveȱ significantȱbenefitsȱforȱbothȱvictimsȱandȱoffenders,ȱandȱshouldȱneverȱaddȱtoȱ theirȱdistress,ȱimpliesȱthatȱtheȱapplicabilityȱofȱtheȱprincipleȱofȱconfidentialityȱ shouldȱ beȱ reconsideredȱ ifȱ itȱ givesȱ riseȱ toȱ situationsȱ thatȱ mayȱ undoȱ theȱ advantagesȱ ofȱ participating,ȱ orȱ thatȱ haveȱ additionalȱ drawbacks.ȱ Theȱ potentialȱ frictionsȱ withȱ theȱ principleȱ ofȱ confidentialityȱ thereforeȱ hadȱ toȱ beȱ examined.ȱTheȱensuingȱsituationsȱmightȱnecessitateȱmakingȱanȱexceptionȱtoȱ mediationȱ confidentialityȱ inȱ orderȱ toȱ remedyȱ theȱ harmȱ causedȱ byȱ them.ȱ Consequently,ȱ makingȱ exceptionsȱ shouldȱ compensateȱ theȱ mediationȱ participantsȱeffectivelyȱandȱtheȱassessmentȱofȱtheȱeffectivenessȱofȱbreachingȱ theȱprincipleȱofȱconfidentialityȱwasȱthereforeȱaȱnecessaryȱstepȱinȱdeterminingȱ theȱ advisableȱ levelȱ ofȱ secrecy.ȱ Disclosureȱ ofȱ mediationȱ informationȱ canȱ beȱ consideredȱ effectiveȱ ifȱ theȱ criminalȱ orȱ civilȱ courtȱ canȱ takeȱ thatȱ informationȱ intoȱaccount.ȱȱ

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CHAPTERȱ1ȱ–ȱOVERVIEWȱANDȱPURPOSEȱOFȱSTUDYȱȱ ȱ

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ȱ ȱȱ

theȱ compatibilityȱ ofȱ breachingȱ theȱ confidentialityȱ ruleȱ withȱ theȱ essentialȱ characteristicsȱ ofȱ victimȬoffenderȱ mediation;ȱ makingȱ exceptionsȱ shouldȱ notȱ subvertȱ theȱ mediationȱ procedureȱ itselfȱ withoutȱ goodȱ reason.ȱ Theȱ consequencesȱ ofȱ overrulingȱ theȱ principleȱ ofȱ confidentialityȱ forȱ otherȱ mediationȱstandardsȱthereforeȱhadȱtoȱbeȱexamined.ȱȱ

Secondly,ȱ wasȱ makingȱ exceptionsȱ consistentȱ withȱ theȱ mainȱ featuresȱ ofȱ criminalȱandȱcivilȱlaw?ȱMakingȱexceptionsȱimpliesȱtheȱuseȱofȱtheȱinformationȱ concernedȱ inȱ courtȱ inȱ orderȱ toȱ offerȱ theȱ mediationȱ participantsȱ anȱ effectiveȱ remedyȱforȱtheȱharmȱcausedȱbyȱtheȱconflictingȱinterest.ȱForȱthatȱreason,ȱitȱisȱ importantȱ thatȱ theȱ characteristicsȱ ofȱ criminalȱ andȱ civilȱ lawȱ areȱ observedȱ toȱ theȱ extentȱ necessaryȱ inȱ orderȱ toȱ safeguardȱ theȱ admissibilityȱ ofȱ mediationȱ informationȱ inȱ judicialȱ proceedings.ȱ Theȱ researchȱ frameworkȱ enabledȱ thisȱ examination,ȱfacilitatingȱtheȱdeterminationȱofȱtheȱproceduralȱpositionȱofȱtheȱ mediationȱ participantsȱ asȱ wellȱ asȱ theirȱ optionsȱ toȱ submitȱ informationȱ inȱ court,ȱ whichȱ isȱ aȱ preconditionȱ forȱ theȱ courtȱ toȱ beȱ ableȱ toȱ takeȱ mediationȱ informationȱintoȱconsideration.ȱȱ ȱ ȱ 1.4ȱ StructureȱofȱtheȱBookȱȱ ȱ Theȱbookȱisȱdividedȱintoȱfourȱparts.ȱTheȱfirstȱpartȱcontainsȱanȱintroductionȱtoȱ victimȬoffenderȱ mediationȱ (Chapterȱ Two)ȱ andȱ aȱ discussionȱ ofȱ itsȱ mainȱ proceduralȱ requirementsȱ (Chapterȱ Three).ȱ Atȱ theȱ endȱ ofȱ theȱ thirdȱ chapter,ȱ theȱpotentialȱfrictionsȱthatȱmayȱbeȱcausedȱbyȱtheȱprincipleȱofȱconfidentialityȱ willȱ beȱ identified.ȱ Partȱ Twoȱ willȱ beȱ devotedȱ toȱ theȱ developmentȱ ofȱ theȱ researchȱ frameworkȱ mentionedȱ aboveȱ (Chapterȱ Four).ȱ Partȱ Threeȱ willȱ examineȱ theȱ frictionsȱ whichȱ mayȱ beȱ causedȱ byȱ theȱ principleȱ ofȱ confidentialityȱ inȱ moreȱ detail.ȱ Chapterȱ Fiveȱ willȱ lookȱ atȱ theȱ desirabilityȱ ofȱ makingȱ anȱ exceptionȱ toȱ nonȬdisclosureȱ toȱ outȬofȬcourtȱ recipients.ȱ Chaptersȱ Sixȱ andȱ Sevenȱ willȱ dealȱ withȱ theȱ frictionsȱ regardingȱ theȱ advisabilityȱ ofȱ makingȱexceptionsȱtoȱnonȬdisclosureȱinȱjudicialȱproceedings.ȱTheȱproceduralȱ positionsȱ ofȱ theȱ mediationȱ participantsȱ andȱ theirȱ opportunitiesȱ toȱ presentȱ informationȱ inȱ courtȱ willȱ beȱ discussedȱ inȱ Chapterȱ Eight.ȱ Inȱ Partȱ Fourȱ (ChapterȱNine),ȱtheȱmainȱfindingsȱandȱtheȱconclusionsȱwillȱbeȱpresented.ȱ

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PARTȱONEȱ–ȱINTRODUCTIONȱ ȱ ȱ ȱ ȱȱ

2ȱ

VictimȬOffenderȱMediationȱȱ

ȱ ȱ 2.1ȱ Introductionȱ ȱ

Currentȱ victimȬoffenderȱ mediationȱ programmesȱ rangeȱ fromȱ informalȱ meetingsȱ toȱ wellȬregulatedȱ processes,ȱ yetȱ allȱ formsȱ shareȱ theȱ sameȱ keyȱ elements.ȱOneȱofȱtheseȱisȱtheȱfocusȱonȱestablishingȱcommunicationȱbetweenȱ victimsȱ andȱ offenders,ȱ toȱ helpȱ themȱ dealȱ withȱ theȱ consequencesȱ ofȱ crimesȱ thatȱ connectȱ them.ȱ Victimsȱ andȱ offendersȱ areȱ thusȱ bothȱ activelyȱ involved,ȱ andȱ theirȱ interactionȱ enablesȱ victimsȱ toȱ expressȱ theirȱ needsȱ andȱ feelingsȱ toȱ theȱ offender,ȱ andȱ offendersȱ toȱ acceptȱ andȱ actȱ onȱ theirȱ responsibilitiesȱ towardsȱtheȱvictim.6_{ȱToȱfacilitateȱthisȱdialogue,ȱtheȱhelpȱofȱanȱimpartialȱthirdȱ} party,ȱtheȱmediator,ȱisȱofȱvitalȱimportance.ȱȱ

VictimȬoffenderȱ mediationȱ isȱ oftenȱ linkedȱ toȱ theȱ conceptȱ ofȱ restorativeȱ justice.ȱRestorativeȱjusticeȱprimarilyȱaimsȱatȱredressingȱtheȱharmȱcausedȱbyȱaȱ crimeȱ andȱ thusȱ highlightsȱ theȱ relationshipȱ betweenȱ victimsȱ andȱ offenders,ȱ whereasȱ itsȱ counterpart,ȱ retributiveȱ justice,ȱ mainlyȱ focusesȱ onȱ punishingȱ perpetratorsȱ andȱ henceȱ onȱ theȱ positionȱ ofȱ offendersȱ inȱ relationȱ toȱ society.ȱ Becauseȱofȱitsȱemphasisȱonȱremedialȱaction,ȱrestorativeȱjusticeȱacknowledgesȱ theȱ victimȱ asȱ anȱ importantȱ actor.ȱ Asȱ retributiveȱ justiceȱ traditionallyȱ concentratesȱ onȱ establishingȱ theȱ offender’sȱ criminalȱ liability,ȱ itȱ doesȱ notȱ recogniseȱtheȱvictimȱasȱaȱpartyȱtoȱcriminalȱproceedingsȱ(despiteȱsuchȱrecentȱ initiativesȱasȱtheȱvictimȱimpactȱstatement).7_ȱȱ

Mediationȱ hasȱ beenȱ typifiedȱ asȱ anȱ equivalentȱ to,ȱ orȱ asȱ aȱ modalityȱ of,ȱ restorativeȱjustice.8_{ȱAȱdistinctionȱcanȱandȱshouldȱbeȱmadeȱbetweenȱtheȱideasȱ} behindȱrestorativeȱjusticeȱandȱhowȱtheseȱideasȱareȱputȱintoȱpractice.ȱFromȱanȱ operationalȱ pointȱ ofȱ view,ȱ restorativeȱ justiceȱ offersȱ victimsȱ andȱ offendersȱ aȱ

6ȱȱ Amongȱothers,ȱStatementȱonȱtheȱPositionȱofȱtheȱVictimȱwithinȱtheȱProcessȱofȱMediationȱofȱtheȱ EuropeanȱForumȱforȱVictimȱServicesȱ(nowȱVictimȱSupportȱEurope)ȱ(2004);ȱM.S.ȱUmbreit,ȱ R.B.ȱ Coatesȱ &ȱ B.ȱ Vos,ȱ ‘VictimȬOffenderȱ Mediation:ȱ Threeȱ Decadesȱ ofȱ Practiceȱ andȱ Research’,ȱ Conflictȱ Resolutionȱ Quarterlyȱ 2004Ȭ1/2,ȱ p.ȱ 279;ȱ andȱ H.ȱ Zehr,ȱ ‘Commentary:ȱ Restorativeȱ Justice:ȱ Beyondȱ VictimȬOffenderȱ Mediation’,ȱ Conflictȱ Resolutionȱ Quarterlyȱ 2004Ȭ1/2,ȱp.ȱ308.ȱ

7ȱȱ Inȱthisȱrespect,ȱseeȱalsoȱD.ȱRoche,ȱ‘RetributionȱandȱRestorativeȱJustice’,ȱin:ȱG.ȱJohnstoneȱ &ȱ D.W.ȱ vanȱ Nessȱ (eds.),ȱ Handbookȱ ofȱ Restorativeȱ Justice,ȱ Cullompton:ȱ Willanȱ Publishingȱ 2007,ȱ pp.ȱ 75Ȭ90;ȱ andȱ R.A.ȱ Duff,ȱ ‘Restorationȱ andȱ Retribution’,ȱ in:ȱ A.ȱ vonȱ Hirschȱ (ed.),ȱ RestorativeȱJusticeȱandȱCriminalȱJustice:ȱCompetingȱorȱReconcilableȱParadigms?,ȱOxford:ȱHartȱ Publishingȱ2003,ȱpp.ȱ43Ȭ59.ȱ

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CHAPTERȱ2ȱ–ȱVICTIMȬOFFENDERȱMEDIATIONȱȱ ȱ

ȱ

ȱ ȱ

possibilityȱ toȱ achieveȱ reparationȱ andȱ restorationȱ throughȱ participation.ȱ VictimȬoffenderȱmediationȱcanȱbeȱconsideredȱaȱmeansȱtoȱrealiseȱthis,ȱandȱasȱ suchȱ formsȱ oneȱ ofȱ theȱ coreȱ techniquesȱ ofȱ restorativeȱ justice.ȱ Restorativeȱ justiceȱ shouldȱ thusȱ beȱ regardedȱ asȱ aȱ theoreticalȱ conceptȱ thatȱ isȱ operationalisedȱthroughȱaȱvarietyȱofȱreparativeȱapproaches,ȱoneȱofȱwhichȱisȱ victimȬoffenderȱmediation.ȱȱ

ȱ

Theȱ justificationȱ ofȱ usingȱ victimȬoffenderȱ mediationȱ asȱ aȱ meansȱ ofȱ dealingȱ withȱ crimeȱ followsȱ fromȱ theȱ principleȱ ofȱ subsidiarityȱ andȱ theȱ notionȱ ofȱ

ultimumȱremediumȱthatȱdominateȱcriminalȱlawȱtheory.ȱTheȱmainȱobjectiveȱofȱ

criminalȱjusticeȱisȱtoȱrestoreȱtheȱlegalȱorderȱafterȱaȱcrimeȱhasȱbeenȱcommitted.ȱ Thisȱ legalȱ orderȱ alsoȱ extendsȱ toȱ theȱ rightsȱ ofȱ crimeȱ victimsȱ thatȱ haveȱ beenȱ violated,ȱ andȱ victimȬoffenderȱ mediationȱ canȱ beȱ consideredȱ aȱ wayȱ toȱ repairȱ suchȱviolations.ȱȱ

Theȱ principleȱ ofȱ subsidiarityȱ entailsȱ thatȱ aȱ caseȱ shouldȱ notȱ beȱ broughtȱ beforeȱ aȱ criminalȱ courtȱ ifȱ lessȱ farȬreachingȱ instrumentsȱ areȱ available.ȱ Theȱ ideaȱofȱultimumȱremediumȱexpressesȱaȱsimilarȱthought,ȱnamelyȱthatȱaȱcriminalȱ trialȱ andȱ theȱ inflictionȱ ofȱ aȱ punishmentȱ shouldȱ beȱ avoidedȱ ifȱ possible.9_ȱ VictimȬoffenderȱ mediationȱ offersȱ suchȱ anȱ alternativeȱ andȱ moreȱ lenientȱ responseȱ toȱ crime.ȱ Itȱ isȱ lessȱ drasticȱ andȱ canȱ divertȱ casesȱ fromȱ theȱ criminalȱ justiceȱsystem.ȱIfȱthisȱisȱnotȱanȱoptionȱ–ȱdueȱtoȱtheȱseriousnessȱorȱcomplexityȱ ofȱ theȱ crimesȱ concernedȱ –ȱ mediationȱ canȱ stillȱ playȱ aȱ roleȱ inȱ theȱ courseȱ ofȱ proceedings,ȱandȱcan,ȱforȱexample,ȱinfluenceȱtheȱseverityȱofȱtheȱsentenceȱtoȱ beȱ imposed.ȱ Furthermore,ȱ victimȬoffenderȱ mediationȱ seemsȱ toȱ leadȱ toȱ aȱ decreaseȱofȱrecidivismȱandȱstimulatesȱtheȱreintegrationȱandȱrehabilitationȱofȱ offenders.10_{ȱForȱthatȱreason,ȱstartingȱaȱmediationȱevenȱafterȱanȱoffenderȱhasȱ} beenȱconvictedȱmayȱstillȱyieldȱsignificantȱbenefits.ȱȱ

TheȱvariousȱformsȱofȱvictimȬoffenderȱmediationȱcanȱbeȱdividedȱintoȱthreeȱ categoriesȱ reflectingȱ theȱ timingȱ ofȱ mediation:ȱ before,ȱ during,ȱ orȱ afterȱ aȱ criminalȱtrial.11_{ȱAsȱthisȱclassificationȱofȱtheȱexistingȱformsȱofȱvictimȬoffenderȱ}

9ȱȱ Forȱ aȱ furtherȱ explanationȱ ofȱ theȱ ultimumȱ remediumȱ principleȱ inȱ relationȱ toȱ victimȬ offenderȱ mediationȱ andȱ otherȱ restorativeȱ initiatives,ȱ seeȱ M.S.ȱ Groenhuijsenȱ &ȱ N.J.M.ȱ Kwakman,ȱ ‘Hetȱ slachtofferȱ inȱ hetȱ vooronderzoek’,ȱ in:ȱ M.S.ȱ Groenhuijsenȱ &ȱ G.ȱ Kniggeȱ (eds.),ȱ Dwangmiddelenȱ enȱ rechtsmiddelen.ȱ Derdeȱ interimrapportȱ onderzoeksprojectȱ Strafvorderingȱ2001,ȱDeventer:ȱKluwerȱ2002,ȱpp.ȱ849Ȭ850ȱandȱ964ff.ȱSeeȱalsoȱM.ȱLöschnigȬ Gspandl,ȱDieȱWiedergutmachungȱimȱÖsterreichischenȱStrafrecht,ȱVienna:ȱVerlagȱÖsterreichȱ 1996,ȱpp.ȱ72Ȭ73.ȱ

10ȱȱ Amongȱothers,ȱseeȱL.W.ȱShermanȱ&ȱH.ȱStrang,ȱRestorativeȱJustice:ȱTheȱEvidence,ȱLondon:ȱ TheȱSmithȱInstituteȱ2007,ȱpp.ȱ68Ȭ71;ȱH.ȱHayes,ȱ‘ReoffendingȱandȱRestorativeȱJustice’,ȱin:ȱ Johnstoneȱ &ȱ Vanȱ Nessȱ (eds.)ȱ 2007,ȱ pp.ȱ 426Ȭ444;ȱ W.ȱ Bradshaw,ȱ D.ȱ Roseboroughȱ &ȱ M.S.ȱ Umbreit,ȱ‘TheȱEffectȱofȱVictimȱOffenderȱMediationȱonȱJuvenileȱOffenderȱRecidivism:ȱAȱ MetaȬAnalysis’,ȱ Conflictȱ Resolutionȱ Quarterlyȱ 2006Ȭ1,ȱ pp.ȱ 87Ȭ98;ȱ Umbreit,ȱ Coatesȱ &ȱ Vosȱ 2004,ȱ pp.ȱ 292Ȭ294;ȱ Nugent,ȱ Williamsȱ &ȱ Umbreitȱ 2004,ȱ p.ȱ 415;ȱ W.R.ȱ Nugentȱ etȱ al.,ȱ ‘Participationȱ inȱ VictimȬOffenderȱ Mediationȱ andȱ Reoffense:ȱ Successfulȱ Replications?’,ȱ Researchȱ onȱ Socialȱ Workȱ Practiceȱ 2001Ȭ1,ȱ pp.ȱ 5Ȭ23;ȱ andȱ G.ȱ Bazemore,ȱ ‘Restorativeȱ Justiceȱ andȱEarnedȱRedemption’,ȱTheȱAmericanȱBehavioralȱScientistȱ1998Ȭ6,ȱpp.ȱ768Ȭ813.ȱȱ

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mediationȱ hasȱ playedȱ aȱ majorȱ roleȱ inȱ thisȱ research,ȱ itȱ willȱ beȱ discussedȱ inȱ moreȱdetailȱinȱtheȱfollowingȱsections.ȱȱ

ȱ ȱ

2.2ȱ VictimȬOffenderȱMediationȱasȱaȱDiversionaryȱMeasureȱ

ȱ

Fromȱ theȱ notionȱ ofȱ ultimumȱ remediumȱ andȱ theȱ principleȱ ofȱ subsidiarityȱ itȱ followsȱ thatȱ victimȬoffenderȱ mediationȱ canȱ divertȱ aȱ caseȱ fromȱ theȱ criminalȱ justiceȱ system.ȱ VictimȬoffenderȱ mediationȱ andȱ itsȱ outcomeȱ thenȱ replaceȱ theȱ criminalȱtrialȱandȱtheȱimpositionȱofȱaȱsentence.12_ȱȱ Theȱconceptȱofȱdiversionȱisȱcharacterisedȱbyȱaȱnumberȱofȱelements.13_ȱFirst,ȱ theȱmainȱreasonȱforȱdivertingȱaȱcaseȱisȱthatȱoffendersȱareȱthoughtȱtoȱbeȱbetterȱ offȱwhenȱtheirȱcasesȱareȱdealtȱwithȱthroughȱmediation;ȱdiversionȱdoes,ȱafterȱ all,ȱimplyȱthatȱnoȱsentenceȱwillȱbeȱimposed.ȱVictimȬoffenderȱmediationȱcanȱ alsoȱtakeȱawayȱorȱdiminishȱpotentialȱdrawbacksȱofȱaȱtrialȱforȱoffenders,ȱsuchȱ asȱintentionallyȱcausingȱdistress,ȱstigmatisation,ȱandȱreintegrationȱproblems.ȱ However,ȱ ifȱ offendersȱ expectȱ toȱ benefitȱ fromȱ havingȱ theirȱ casesȱ broughtȱ toȱ court,ȱ theyȱ haveȱ theȱ freedomȱ toȱ refuseȱ toȱ participateȱ inȱ victimȬoffenderȱ mediation.14_ȱ

Theȱsecondȱelementȱofȱdiversionȱconcernsȱtheȱmomentȱofȱreferringȱaȱcaseȱ toȱ penalȱ mediation.ȱ Aȱ successfulȱ mediationȱ impliesȱ thatȱ noȱ furtherȱ legalȱ stepsȱwillȱbeȱtaken,ȱandȱaȱcaseȱmustȱthereforeȱbeȱreferredȱtoȱmediationȱbeforeȱ itȱhasȱbeenȱsubjectedȱtoȱjudicialȱassessment.ȱThisȱmomentȱcanȱbeȱconsideredȱ theȱupperȱlimitȱofȱdiversion.ȱHowever,ȱasȱdiversionȱaimsȱatȱdiminishingȱorȱ evenȱ preventingȱ criminalȱ intervention,ȱ casesȱ willȱ mostȱ likelyȱ beȱ referredȱ duringȱtheȱpreȬtrialȱphase.ȱTheȱmomentȱwhenȱtheȱfactsȱofȱaȱcaseȱareȱmoreȱorȱ lessȱclearȱandȱaȱsuspectȱhasȱbeenȱidentifiedȱcanȱthusȱbeȱconsideredȱtheȱlowerȱ limitȱ ofȱ diversion.ȱ Thisȱ coheresȱ withȱ theȱ factȱ thatȱ bothȱ theȱ victimȱ andȱ theȱ offenderȱ shouldȱ acknowledgeȱ theȱ basicȱ factsȱ ofȱ aȱ caseȱ beforeȱ theȱ startȱ ofȱ aȱ mediation.15_{ȱInȱpractice,ȱclarityȱonȱtheȱfactsȱandȱtheȱallegedȱinvolvementȱofȱaȱ} suspectȱ willȱ oftenȱ coincide.ȱ Dependingȱ onȱ theȱ characteristicsȱ ofȱ theȱ caseȱ atȱ handȱ andȱ onȱ theȱ featuresȱ ofȱ theȱ jurisdictionȱ involved,ȱ theȱ referralȱ toȱ mediationȱcanȱbeȱmadeȱatȱeitherȱtheȱpoliceȱorȱtheȱprosecutorialȱlevel.ȱ

Insofarȱ asȱ diversionȱ impliesȱ thatȱ aȱ successfulȱ mediationȱ willȱ leadȱ toȱ terminationȱ ofȱ criminalȱ proceedings,ȱ thisȱ modalityȱ ofȱ victimȬoffenderȱ

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ȱ

ȱ ȱ

mediationȱ primarilyȱ dealsȱ withȱ minorȱ offences.ȱ Nevertheless,ȱ theȱ offencesȱ thatȱareȱconsideredȱreferableȱtoȱvictimȬoffenderȱmediationȱdifferȱbetweenȱtheȱ nationalȱ legalȱ systemsȱ thatȱ recogniseȱ thisȱ kindȱ ofȱ mediationȱ asȱ aȱ diversionaryȱmeasure.ȱAȱnumberȱofȱtheseȱsystemsȱwillȱbeȱdiscussedȱbelow.ȱȱ

ȱ

AustriaȱisȱoneȱofȱtheȱfirstȱEuropeanȱcountriesȱthatȱexperimentedȱwithȱvictimȬ offenderȱmediation,ȱandȱprobationȱserviceȱandȱvictimȱsupportȱinfluencedȱtheȱ developmentȱ ofȱ aȱ varietyȱ ofȱ programmes.ȱ Casesȱ areȱ mostlyȱ referredȱ toȱ victimȬoffenderȱmediationȱbyȱtheȱpublicȱprosecutor,ȱalthoughȱinȱsomeȱcasesȱ theȱdecisionȱisȱleftȱtoȱtheȱjudge.16_{ȱLegalȱprovisionsȱregardingȱvictimȬoffenderȱ} mediationȱ canȱ beȱ foundȱ inȱ theȱ Austrianȱ Juvenileȱ Justiceȱ Actȱ (Jugendgerichtsgesetz,ȱ JGG)ȱ andȱ theȱ Codeȱ ofȱ Criminalȱ Procedureȱ (Strafprozessordnung,ȱ StPO).ȱ Theȱ legalȱ provisionsȱ regardingȱ victimȬoffenderȱ mediationȱ–ȱorȱTatausgleichȱ–ȱhaveȱbeenȱincorporatedȱinȱtheȱStPO.17_{ȱReferralsȱ} toȱ mediationȱ areȱ mainlyȱ foundedȱ onȱ Arts.ȱ 198ȱ etȱ seq.ȱ StPO.ȱ Art.ȱ 198ȱ StPOȱ categorisesȱ victimȬoffenderȱ mediationȱ asȱ partȱ ofȱ theȱ ‘diversionȱ package’,ȱ aȱ setȱofȱdiversionaryȱmeasuresȱthatȱcanȱbeȱofferedȱtoȱbothȱjuvenileȱandȱadultȱ offenders.18_{ȱ Besidesȱ victimȬoffenderȱ mediation,ȱ theȱ diversionaryȱ measuresȱ} include,ȱ forȱ example,ȱ communityȱ service,ȱ probation,ȱ andȱ theȱ paymentȱ ofȱ aȱ fineȱ (Art.ȱ 198,ȱ para.ȱ 1,ȱ underȱ 1Ȭ4ȱ StPO).19_{ȱ VictimȬoffenderȱ mediationȱ inȱ} Austriaȱ hasȱ developedȱ intoȱ aȱ generalȱ serviceȱ thatȱ appliesȱ toȱ bothȱ juvenileȱ andȱ adultȱ offenders.20_{ȱ Asȱ aȱ result,ȱ organisationalȱ andȱ methodologicalȱ} differencesȱ betweenȱ mediationȱ inȱ adultȱ andȱ juvenileȱ casesȱ haveȱ nearlyȱ disappeared.ȱ However,ȱ theȱ JGGȱ stillȱ retainsȱ aȱ fewȱ specificȱ regulationsȱ forȱ minors.ȱForȱexample,ȱjuvenileȱoffendersȱhaveȱeasierȱaccessȱtoȱvictimȬoffenderȱ mediationȱ(andȱtoȱotherȱdivisionaryȱmeasures)ȱthanȱadultȱperpetratorsȱdo.ȱ

Accordingȱ toȱ Arts.ȱ 190Ȭ191ȱ StPO,ȱ theȱ publicȱ prosecutorȱ canȱ terminateȱ aȱ caseȱ withoutȱ takingȱ anyȱ furtherȱ actionȱ ifȱ thereȱ areȱ insufficientȱ groundsȱ forȱ continuedȱ prosecution,ȱ orȱ ifȱ theȱ offenceȱ isȱ notȱ seriousȱ enoughȱ toȱ meritȱ continuation.21_{ȱ Specificȱ conditionsȱ applyingȱ toȱ juvenilesȱ canȱ beȱ foundȱ inȱ} Arts.ȱ 4ȱ andȱ 6ȱ JGG.ȱ Ifȱ theȱ publicȱ prosecutionȱ serviceȱ assessesȱ thatȱ theȱ mereȱ dismissalȱofȱaȱcaseȱwouldȱbeȱinappropriate,ȱitȱcanȱturnȱtoȱtheȱmeasuresȱthatȱ areȱ includedȱ inȱ theȱ diversionȱ package.ȱ Theȱ conditionsȱ forȱ diversionȱ haveȱ beenȱ setȱ outȱ inȱ Art.ȱ 198ȱ StPO.ȱ Inȱ brief,ȱ theyȱ includeȱ theȱ followingȱ prerequisites:ȱ sufficientȱ clarificationȱ ofȱ theȱ facts,ȱ noȱ seriousȱ culpability,ȱ noȱ

16ȱȱ C.ȱPelikan,ȱ‘VictimȬOffenderȱMediationȱinȱAustria’,ȱin:ȱTheȱEuropeanȱForumȱforȱVictimȬ OffenderȱMediationȱandȱRestorativeȱJusticeȱ2000,ȱp.ȱ129.ȱ

17ȱȱ M.ȱ LöschnigȬGspandl,ȱ ‘Diversionȱ inȱ Austria:ȱ Legalȱ Aspects’,ȱ Europeanȱ Journalȱ ofȱ Crime,ȱ CriminalȱLawȱandȱCriminalȱJusticeȱ2001Ȭ4,ȱp.ȱ281.ȱ

18ȱȱ Miersȱ&ȱWillemsensȱ(eds.)ȱ2004,ȱp.ȱ15.ȱ

19ȱȱ SeeȱalsoȱLöschnigȬGspandlȱ2001,ȱpp.ȱ282ȱandȱ285Ȭ286.ȱ

20ȱȱ V.ȱHofingerȱ&ȱC.ȱPelikan,ȱ‘VictimȬOffenderȱMediationȱwithȱJuvenilesȱinȱAustria’,ȱin:ȱA.ȱ Mestitzȱ &ȱ S.ȱ Ghettiȱ (eds.),ȱ VictimȬOffenderȱ Mediationȱ withȱ Youthȱ Offendersȱ inȱ Europe,ȱ Dordrecht:ȱSpringerȱ2005,ȱp.ȱ160.ȱȱ

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PARTȱONEȱ–ȱINTRODUCTIONȱ ȱ ȱ ȱ ȱȱ lossȱofȱlife,ȱaȱmaximumȱsentenceȱofȱfiveȱyearsȱimprisonment,ȱandȱnoȱneedȱforȱ preventiveȱ action.22_{ȱ Itȱ followsȱ thatȱ theȱ diversionaryȱ measuresȱ ofȱ Art.ȱ 198ȱ} StPOȱprimarilyȱapplyȱtoȱminorȱoffences.ȱȱ

Aȱpreconditionȱforȱoffencesȱtoȱbeȱconsideredȱsuitableȱforȱmediationȱisȱthatȱ theyȱcouldȱpotentiallyȱhaveȱcausedȱdirectȱharmȱtoȱaȱpersonȇsȱlegalȱinterestsȱ (Art.ȱ204,ȱpara.ȱ1ȱStPO).ȱFurthermore,ȱtheȱfollowingȱadditionalȱrequirementsȱ haveȱtoȱbeȱmet:ȱtheȱoffenderȱhasȱtoȱbeȱwillingȱtoȱa)ȱtakeȱresponsibilityȱforȱtheȱ crime,ȱ b)ȱ makeȱ amendsȱ forȱ itsȱ consequences,ȱ c)ȱ makeȱ effortsȱ toȱ repairȱ theȱ damageȱ causedȱ byȱ theȱ crime,ȱ andȱ d)ȱ reflectȱ onȱ theȱ reasonsȱ forȱ havingȱ committedȱtheȱcrimeȱ(Art.ȱ204ȱStPO).23_{ȱAlso,ȱtheȱvictimȱneedsȱtoȱconsentȱtoȱ} takeȱpartȱinȱtheȱmediationȱprocedure.ȱIfȱtheȱvictimȱdoesȱnotȱagree,ȱtheȱcaseȱ mustȱbeȱsentȱbackȱtoȱtheȱpublicȱprosecutor,ȱwhoȱdecidesȱonȱhowȱtoȱproceed.ȱ Theȱ reasonsȱ forȱ theȱ victim’sȱ refusalȱ willȱ beȱ takenȱ intoȱ considerationȱ inȱ thisȱ respect,ȱunlessȱ theyȱareȱ irrelevantȱ toȱ theȱ caseȱatȱ hand.ȱ Asȱaȱfinalȱcondition,ȱ theȱ victim’sȱ interestsȱ haveȱ toȱ beȱ takenȱ intoȱ considerationȱ asȱ muchȱ asȱ possible.24_{ȱInȱtheȱcaseȱofȱjuvenileȱoffenders,ȱArt.ȱ8ȱpara.ȱ3ȱJGGȱstatesȱthatȱtheȱ} victim’sȱconsentȱtoȱvictimȬoffenderȱmediationȱisȱnotȱnecessary;ȱtheȱoffender’sȱ effortȱtoȱprovideȱcompensationȱsuffices.25_ȱȱ

Ifȱ theȱ aboveȬmentionedȱ conditionsȱ areȱ metȱ andȱ aȱ victimȬoffenderȱ mediationȱresultsȱinȱanȱagreementȱbetweenȱtheȱparties,ȱtheȱprosecutionȱwillȱ notȱ beȱ continued.ȱ Theȱ agreementȱ usuallyȱ addressesȱ theȱ settlementȱ ofȱ theȱ damageȱsufferedȱandȱtheȱregulationȱofȱfutureȱcontactȱbetweenȱtheȱvictimȱandȱ theȱoffender.26_ȱȱ

ȱ

Anotherȱ countryȱ thatȱ usesȱ victimȬoffenderȱ mediationȱ asȱaȱ wayȱofȱ divertingȱ casesȱfromȱtheȱcriminalȱjusticeȱsystemȱisȱGermany.ȱHereȱtoo,ȱtheȱreferralȱtoȱ mediationȱ isȱ predominantlyȱ madeȱ byȱ theȱ publicȱ prosecutor.27_{ȱ VictimȬ} offenderȱ mediationȱ–ȱ orȱ TäterȬOpferȬAusgleichȱ–ȱ canȱleadȱ toȱ theȱ diversionȱ ofȱ casesȱ involvingȱ adultȱ asȱ wellȱ asȱ juvenileȱ offenders.ȱ Provisionsȱ addressingȱ penalȱ mediationȱ areȱ incorporatedȱ inȱ theȱ Codeȱ ofȱ Criminalȱ Procedureȱ (Strafprozessordnung,ȱ StPO),ȱ theȱ Penalȱ Codeȱ (Strafgesetzbuch,ȱ StGB),ȱ andȱ theȱ JuvenileȱJusticeȱActȱ(Jugendgerichtsgesetz,ȱJGG).ȱȱ

22ȱȱ M.ȱLöschnigȬGspandl,ȱ‘TheȱAustrianȱProsecutionȱService’,ȱin:ȱP.J.P.ȱTakȱ(ed.),ȱTasksȱandȱ Powersȱ ofȱ theȱ Prosecutionȱ Servicesȱ inȱ theȱ EUȱ Memberȱ States,ȱ Nijmegen:ȱ Wolfȱ Legalȱ Publishersȱ2004,ȱp.ȱ38.ȱ

23ȱȱ Seeȱ M.ȱ LöschnigȬGspandlȱ &ȱ M.ȱ Kilchling,ȱ ‘TäterȬOpferȬAusgleichȱ undȱ WiedergutȬ machungȱ inȱ Deutschlandȱ undȱ Österreich’,ȱ in:ȱ H.J.ȱ Albrechtȱ (ed.),ȱ Forschungenȱ zuȱ Kriminalitätȱ undȱ Kriminalitätskontrolleȱ amȱ MaxȬPlanckȬInstitutȱ fürȱ ausländischesȱ undȱ internationalesȱ Strafrechtȱ inȱ Freiburgȱ i.ȱ Br.,ȱ Freiburgȱ i.ȱ Br.:ȱ MaxȬPlanckȬInstitutȱ fürȱ ausländischesȱundȱinternationalesȱStrafrechtȱ1999,ȱpp.ȱ258Ȭ259.ȱȱ

24ȱȱ Hofingerȱ&ȱPelikanȱ2005,ȱp.ȱ163.ȱȱ 25ȱȱ LöschnigȬGspandlȱ2004,ȱp.ȱ39.ȱ

26ȱȱ Pelikanȱ 2000,ȱ pp.ȱ 140Ȭ141.ȱ Furtherȱ regardingȱ victimȬoffenderȱ mediationȱ inȱ Austria,ȱ seeȱ M.ȱ Kilchlingȱ &ȱ M.ȱ LöschnigȬGspandl,ȱ ‘Legalȱ andȱ Practicalȱ Perspectivesȱ onȱ Victim/OffenderȱMediationȱinȱAustriaȱandȱGermany’,ȱInternationalȱReviewȱofȱVictimologyȱ 2000Ȭ4,ȱpp.ȱ305Ȭ332.ȱ

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ȱ

ȱ ȱ

Bothȱ theȱ StPOȱ andȱ theȱ StGBȱ regulateȱ theȱ victimȬoffenderȱ mediationȱ processȱ withȱ adultȱ offenders.ȱ Inȱ practice,ȱ theȱ StPOȱ provisionsȱ areȱ appliedȱ moreȱ often.28_{ȱ Art.ȱ 155aȱ StPOȱ statesȱ thatȱ prosecutorsȱ andȱ judgesȱ mustȱ} examineȱ theȱ possibilitiesȱ ofȱ mediationȱ optionsȱ atȱ allȱ stagesȱ ofȱ theȱ proceedingsȱ andȱ referȱ suitableȱ casesȱ toȱ mediation.ȱ Theseȱ referralsȱ canȱ beȱ madeȱearlyȱonȱinȱtheȱproceedingsȱandȱmayȱthusȱdivertȱtheȱcase.ȱ

AccordingȱtoȱArt.ȱ153a,ȱpara.ȱ1ȱStPO,ȱtheȱprosecutorȱcanȱdecideȱnotȱtoȱtakeȱ aȱ caseȱ toȱ courtȱ ifȱ theȱ degreeȱ ofȱ guiltȱ isȱ notȱ anȱ obstacle,ȱ andȱ ifȱ meetingȱ theȱ requirementsȱimposedȱcanȱadequatelyȱcounterbalanceȱtheȱpublicȱinterestȱinȱ theȱ prosecutionȱ ofȱ theȱ case.ȱ Para.ȱ 1,ȱ underȱ 5ȱ ofȱ Art.ȱ 153aȱ StPOȱ mentionsȱ victimȬoffenderȱ mediationȱ asȱ oneȱ ofȱ theseȱ requirements.ȱ Toȱ qualifyȱ forȱ participationȱinȱmediation,ȱtheȱoffenderȱshouldȱmakeȱeveryȱeffortȱtoȱreachȱanȱ agreementȱ withȱ theȱ victim,ȱ andȱ toȱ compensateȱ theȱ damageȱ suffered.ȱ Moreover,ȱArt.ȱ153aȱStPOȱstipulatesȱthatȱtheȱfulfilmentȱofȱtheseȱrequirementsȱ willȱeffectivelyȱterminateȱtheȱprosecution.ȱȱ

Art.ȱ 46aȱ StGBȱ setsȱforthȱ theȱ conditionsȱ underȱ whichȱ theȱ courtȱ canȱ decideȱ notȱ toȱ imposeȱ aȱ punishmentȱ orȱ toȱ mitigateȱ theȱ sentenceȱ toȱ beȱ imposedȱ inȱ recognitionȱ ofȱ aȱ successfulȱ victimȬoffenderȱ mediation.ȱ Accordingȱ toȱ Art.ȱ 153bȱStPO,ȱtheȱprosecutorȱcanȱdecideȱnotȱtoȱbringȱactionȱagainstȱtheȱallegedȱ offenderȱ underȱ similarȱ circumstances.ȱ Theseȱ areȱ theȱ sameȱ conditionsȱ asȱ thoseȱ mentionedȱ inȱ Art.ȱ 153a,ȱ para.ȱ 1ȱ StPOȱ (Art.ȱ 46a,ȱ para.ȱ 1ȱ StGB).ȱ Additionally,ȱtheȱmaximumȱpenaltyȱforȱtheȱoffenceȱcannotȱexceedȱtheȱlimitȱ ofȱoneȱyear’sȱimprisonmentȱorȱaȱmultipleȱofȱ360ȱofȱtheȱdayȱfine.29_{ȱAsȱallȱfinesȱ} areȱ thusȱ included,ȱ andȱ manyȱ offencesȱ carryȱ aȱ fineȱ orȱ aȱ maximumȱ prisonȱ sentenceȱofȱoneȱyear,ȱ95ȱpercentȱofȱsentencesȱfallȱwithinȱthisȱcategory.30_ȱTheȱ useȱ ofȱ victimȬoffenderȱ mediation,ȱ onȱ theȱ basisȱ ofȱ Art.ȱ 46a,ȱ para.ȱ 1ȱ StGBȱ thereforeȱprimarilyȱconcernsȱoffences.ȱTheȱsameȱgoesȱforȱreferralsȱbasedȱonȱ Art.ȱ153a,ȱpara.ȱ1,ȱunderȱ5ȱStPO,ȱsinceȱtheȱdegreeȱofȱguiltȱisȱnamedȱasȱoneȱofȱ theȱ factorsȱ thatȱ shouldȱ beȱ takenȱ intoȱ account.31_{ȱ Nevertheless,ȱ moreȱ seriousȱ} crimesȱ canȱ beȱ referredȱ toȱ victimȬoffenderȱ mediationȱ asȱ well,ȱ asȱ theȱ aboveȬ mentionedȱprovisionsȱinitiallyȱapplyȱtoȱallȱoffences.32_ȱ

VictimȬoffenderȱ mediationȱ withȱ juvenileȱ offendersȱ isȱ mainlyȱ regulatedȱ inȱ theȱ JGG.33_{ȱ Sinceȱ theȱ JGGȱ generallyȱ prevailsȱ overȱ theȱ StPO,ȱ theȱ latterȱ onlyȱ} fulfilsȱaȱcomplementaryȱroleȱinȱthisȱrespect.34_ȱ

28ȱȱ B.ȱ Bannenberg,ȱ ‘VictimȬOffenderȱ Mediationȱ inȱ Germany’,ȱ in:ȱ Theȱ Europeanȱ Forumȱ forȱ VictimȬOffenderȱMediationȱandȱRestorativeȱJusticeȱ2000,ȱp.ȱ255.ȱ

29ȱȱ Germanȱ finesȱ areȱ quotedȱ inȱ dailyȱ rates.ȱ Theȱ limitȱ ofȱ 360ȱ dailyȱ ratesȱ mustȱ notȱ beȱ exceeded.ȱȱ

30ȱȱ Miersȱ&ȱWillemsensȱ(eds.)ȱ2004,ȱpp.ȱ68Ȭ69;ȱBannenbergȱ2000,ȱpp.ȱ251ff;ȱandȱKilchlingȱ&ȱ LöschnigȬGspandlȱ2000,ȱp.ȱ310.ȱ

31ȱȱ T.ȱ Trenszek,ȱ ‘VictimȬOffenderȱ Mediationȱ inȱ Germany:ȱ ADRȱ underȱ theȱ Shadowȱ ofȱ theȱ CriminalȱLaw?’,ȱBondȱLawȱReviewȱ2001Ȭ2,ȱp.ȱ3Ȭ4,ȱthroughȱ<http://www.austlii.edu.au/au/ȱ ȱ journals/BondLRev/2001/16.html>.ȱ

32ȱȱ Miersȱ&ȱWillemsensȱ(eds.)ȱ2004,ȱp.ȱ69.ȱ

33ȱȱ SeeȱLöschnigȬGspandlȱ&ȱKilchlingȱ1999,ȱp.ȱ245.ȱȱ

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PARTȱONEȱ–ȱINTRODUCTIONȱ ȱ ȱ ȱ ȱȱ TheȱJGGȱrecognisesȱdifferentȱformsȱofȱvictimȬoffenderȱmediation.ȱItȱcanȱbeȱ enforcedȱ asȱ anȱ educationalȱ measureȱ byȱ theȱ judge.35_{ȱ Theȱ judgeȱ canȱ alsoȱ} imposeȱ disciplinaryȱ measuresȱ onȱ aȱ minor,ȱ suchȱ asȱ theȱ compensationȱ ofȱ damageȱ orȱ anȱ apologyȱ toȱ theȱ victim.36_{ȱ Mediationȱ canȱ alsoȱ beȱ orderedȱ byȱ aȱ} judge,ȱifȱtheȱpublicȱprosecutorȱhasȱexpressedȱtheȱintentionȱtoȱdropȱtheȱcase,ȱ combinedȱ withȱ anȱ orderȱ forȱ theȱ offenderȱ toȱ makeȱ anȱ attemptȱ atȱ reconciliation.37_{ȱ Theȱ publicȱ prosecutorȱ canȱ alsoȱ referȱ aȱ caseȱ toȱ mediationȱ} beforeȱ decidingȱ onȱ theȱ dismissalȱ ofȱ theȱ case.38_{ȱ Onlyȱ thisȱ lastȱ formȱ ofȱ} mediationȱ canȱ beȱ consideredȱ diversion;ȱ asȱ theȱ otherȱ situationsȱ involveȱ aȱ judicialȱdecision,ȱtheyȱcannotȱbeȱlabelledȱasȱsuch.ȱȱ

Whenȱ aȱ juvenileȱ offenderȱ isȱ involved,ȱ generallyȱ allȱ typesȱ ofȱ offencesȱ qualifyȱforȱvictimȬoffenderȱmediation.ȱArt.ȱ45,ȱpara.ȱ2ȱJGGȱprovidesȱthatȱtheȱ publicȱ prosecutorȱ canȱ decideȱ notȱ toȱ prosecuteȱ whenȱ a)ȱ anȱ educationalȱ measureȱhasȱbeenȱinitiatedȱorȱcarriedȱout,ȱb)ȱtheȱrequirementsȱofȱparagraphȱ3ȱ haveȱbeenȱmet,ȱandȱc)ȱitȱisȱdeemedȱunnecessaryȱtoȱcontinueȱtheȱinvestigationȱ ofȱtheȱcharge.ȱTheȱlastȱpartȱofȱparagraphȱ2ȱequatesȱanȱeducationalȱmeasureȱ withȱ victimȬoffenderȱ mediation.ȱ Theȱ requirementsȱ mentionedȱ underȱ b)ȱ demandȱ aȱ confessionȱ byȱ theȱ offender.ȱ Additionally,ȱ theȱ prosecutorȱ mustȱ holdȱtheȱopinionȱthatȱvictimȬoffenderȱmediationȱisȱtheȱproperȱwayȱofȱdealingȱ withȱtheȱcaseȱatȱhand,ȱwhileȱinvestigatingȱtheȱchargeȱisȱnot.39_ȱȱ

VictimȬoffenderȱ mediations,ȱ whetherȱ withȱ adultȱ orȱ juvenileȱ offenders,ȱ usuallyȱendȱinȱaȱwrittenȱagreement,ȱwhichȱoftenȱincludeȱvariousȱitems,ȱsuchȱ asȱ theȱ compensationȱ ofȱ damagesȱ (pecuniaryȱ orȱ otherwise),ȱ andȱ anȱ apologyȱ byȱtheȱoffender.40_ȱ ȱ ȱ 2.3ȱ VictimȬOffenderȱMediationȱasȱPartȱofȱRegularȱCourtȱProceedingsȱ ȱ Whenȱdiversionȱisȱnotȱanȱoptionȱ–ȱforȱexampleȱdueȱtoȱtheȱseriousnessȱofȱtheȱ caseȱ –ȱ victimȬoffenderȱ mediationȱ canȱ alsoȱ beȱ partȱ ofȱ regularȱ courtȱ proceedings41_{ȱandȱbeȱofȱbenefitȱtoȱbothȱtheȱvictimȱandȱtheȱoffender.ȱȱ}

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ȱ

ȱ ȱ

ofȱ itsȱ participantsȱ duringȱ theȱ session42_{ȱ mayȱ leadȱ toȱ aȱ mitigationȱ ofȱ theȱ} sentence.ȱTheȱagreementȱbetweenȱtheȱvictimȱandȱtheȱoffenderȱthenȱfunctionsȱ asȱaȱsubstituteȱforȱtheȱpartȱofȱtheȱsentenceȱthatȱisȱnotȱimposed;ȱmediationȱcanȱ thusȱ beȱ regardedȱ asȱ aȱ lessȱ radicalȱ reactionȱ toȱ theȱ crimeȱ atȱ hand.ȱ VictimȬ offenderȱ mediationȱ duringȱ courtȱ proceedingsȱ mayȱ alsoȱ haveȱ otherȱ benefitsȱ forȱtheȱparticipants.ȱItȱmayȱhaveȱaȱpositiveȱeffectȱonȱtheȱcopingȱprocessȱofȱtheȱ victimȱandȱtheȱoffender,ȱtheȱrehabilitationȱandȱreintegrationȱofȱtheȱoffender,ȱ andȱtheȱrecognitionȱofȱtheȱvictim.ȱȱ

Theȱ lowerȱ andȱ upperȱ limitsȱ ofȱ theȱ currentȱ modalityȱ ofȱ victimȬoffenderȱ mediationȱdependȱonȱtheȱinvolvementȱofȱtheȱjudge.ȱTheȱmomentȱthatȱaȱcaseȱ isȱ submittedȱ toȱ theȱ courtȱ forȱ itsȱ finalȱ assessmentȱ isȱ theȱ upperȱ limitȱ ofȱ theȱ possibilityȱofȱdiversion.ȱThisȱmomentȱisȱautomaticallyȱtheȱlowerȱlimitȱofȱtheȱ mediationȱmodalityȱbeingȱdiscussedȱhere.ȱItsȱupperȱlimitȱisȱtheȱmomentȱthatȱ theȱ courtȱ hasȱ givenȱ itsȱ definitiveȱ rulingȱ onȱ theȱ case;ȱ fromȱ thatȱ momentȱ on,ȱ theȱmediationȱandȱitsȱoutcomeȱcanȱnoȱlongerȱinfluenceȱtheȱjudgement.ȱȱ

Allȱtypesȱofȱoffencesȱqualifyȱforȱaȱmediationȱprocessȱthatȱisȱpartȱofȱregularȱ courtȱ proceedings.ȱ VictimȬoffenderȱ mediationȱ hasȱ provenȱ toȱ beȱ usefulȱ andȱ valuable,ȱalsoȱinȱtheȱcaseȱofȱseriousȱcrimes.43_{ȱWhichȱoffencesȱareȱreferredȱtoȱ} mediationȱ inȱ practiceȱ dependsȱ onȱ theȱ policyȱ ofȱ theȱ differentȱ jurisdictions.ȱ However,ȱ inȱ principle,ȱ bothȱ seriousȱ offencesȱ andȱ misdemeanoursȱ mayȱ qualify.ȱ

ȱ

Belgiumȱ isȱ anȱ exampleȱ ofȱ aȱ countryȱ thatȱ usesȱ victimȬoffenderȱ mediationȱ asȱ partȱofȱregularȱcourtȱproceedings.ȱVariousȱmediationȱprogrammesȱareȱusedȱ throughoutȱtheȱcountry,ȱbothȱlawȬbasedȱandȱprojectȬbased.ȱVictimȬoffenderȱ mediationȱ inȱ Belgiumȱ manifestsȱ itselfȱ duringȱ variousȱ stagesȱ ofȱ criminalȱ justiceȱproceedings.ȱThisȱfollowsȱfromȱArticleȱ553,ȱparagraphȱ1ȱofȱtheȱCodeȱ ofȱCriminalȱProcedureȱ(WetboekȱvanȱStrafvordering,ȱWvSv),ȱwhichȱreadsȱthatȱ allȱ partiesȱ interestedȱ canȱ requestȱ theirȱ caseȱ beȱ referredȱ toȱ mediationȱ atȱ anyȱ timeȱ duringȱ criminalȱ proceedingsȱ asȱ wellȱ asȱ duringȱ theȱ servingȱ ofȱ theȱ sentence.ȱParagraphȱ2ȱstatesȱthatȱtheȱpersonsȱconcernedȱshouldȱbeȱinformedȱ aboutȱ theȱ possibilityȱ toȱ requestȱ aȱ referralȱ toȱ mediation.ȱ Bothȱ adultȱ andȱ juvenileȱoffendersȱareȱeligibleȱforȱmediation.ȱTheȱresultȱofȱtheȱmediationȱmayȱ influenceȱeitherȱtheȱcourseȱorȱtheȱoutcomeȱofȱtheȱcriminalȱtrial.ȱ

Aȱ programmeȱ thatȱ mainlyȱ concentratesȱ onȱ adultȱ perpetratorsȱ ofȱ seriousȱ crimesȱ isȱ mediationȱ forȱ redressȱ (herstelbemiddelingȱ orȱ médiationȱ aprèsȱ

poursuite).ȱOneȱofȱtheȱrequirementsȱofȱtheȱexperimentalȱphaseȱofȱtheȱprojectȱ

wasȱthatȱtheȱpublicȱprosecutorȱhadȱalreadyȱdecidedȱtoȱprosecute.44_{ȱAfterȱtheȱ} mediationȬforȬredressȱprogrammeȱhadȱbeenȱlegallyȱestablishedȱinȱJuneȱ2005,ȱ

42ȱȱ Theȱ questionȱ whatȱ informationȱ fromȱ aȱ mediationȱ mayȱ beȱ usedȱ duringȱ subsequentȱ criminalȱproceedingsȱwillȱbeȱaddressedȱinȱtheȱupcomingȱchapters.ȱȱ

43ȱȱ Amongȱothers,ȱseeȱM.S.ȱUmbreitȱetȱal.,ȱ‘VictimsȱofȱSevereȱViolenceȱinȱMediatedȱDialogueȱ withȱOffender:ȱTheȱImpactȱofȱtheȱFirstȱMultiȬsiteȱStudyȱinȱtheȱU.S.’,ȱInternationalȱReviewȱ ofȱVictimologyȱ2006Ȭ1,ȱpp.ȱ27Ȭ48;ȱandȱNugentȱetȱal.ȱ2001,ȱpp.ȱ6Ȭ7.ȱ

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thisȱ requirementȱ wasȱ officiallyȱ abandoned,ȱ but,ȱ inȱ practice,ȱ publicȱ prosecutorsȱstillȱtendȱtoȱreferȱcasesȱtoȱthisȱtypeȱofȱvictimȬoffenderȱmediationȱ afterȱdecidingȱtoȱchargeȱtheȱoffender.45_{ȱBecauseȱmediationȱinȱthisȱcontextȱcanȱ} influenceȱ theȱ court’sȱ sentencingȱ decision,ȱ theȱ programmeȱ introducedȱ andȱ promotedȱ interactionȱ betweenȱ mediationȱ andȱ theȱ criminalȱ justiceȱ system.46_ȱ Theȱ useȱ ofȱ mediationȱ forȱ redressȱ isȱ basedȱ onȱ Arts.ȱ 553ȱ etȱ seq.ȱ WvSv.47_{ȱ Itȱ isȱ} carriedȱoutȱthroughoutȱBelgium.ȱAccordingȱtoȱArts.ȱ163ȱandȱ195ȱWvSv,ȱtheȱ courtȱ canȱ takeȱ theȱ outcomeȱ ofȱ aȱ mediationȱ intoȱ account;ȱ Art.ȱ 163ȱ WvSvȱ concernsȱtheȱfinalȱjudgementȱofȱtheȱpoliceȱcourtȱ(politierechtbankȱorȱtribunalȱdeȱ

police)ȱandȱArt.ȱ195ȱWvSvȱthatȱofȱtheȱcorrectionalȱcourtȱ(correctioneleȱrechtbankȱ

orȱ tribunalȱ deȱ premièreȱ instance).ȱ Art.ȱ 555,ȱ para.ȱ 1ȱ WvSvȱ stipulatesȱ thatȱ theȱ mediationȱ partiesȱ canȱ agreeȱ toȱ discloseȱ certainȱ informationȱ fromȱ theȱ mediation.48_{ȱIfȱmediationȱinformationȱisȱsubsequentlyȱrevealedȱtoȱtheȱcourt,ȱ} theȱcourtȱshouldȱbothȱconfirmȱreceiptȱandȱspecifyȱtheȱuseȱofȱthisȱinformationȱ inȱitsȱjudgement.49_{ȱInȱconclusion,ȱBelgianȱcriminalȱcourtsȱcanȱhaveȱregardȱtoȱ} informationȱfromȱaȱmediationȱwhenȱassessingȱaȱcase.ȱȱ

Juvenileȱ offendersȱ tooȱ canȱ takeȱ partȱ inȱ mediationȱ duringȱ regularȱ courtȱ proceedingsȱ inȱ Belgium.ȱ Accordingȱ toȱ Articleȱ 52quinquiesȱ ofȱ theȱ Youthȱ Protectionȱ Actȱ (Wetȱ betreffendeȱ deȱ Jeugdbescherming,ȱ JBW),ȱ theȱ juvenileȱ courtȱ canȱ referȱ casesȱ concerningȱ juvenileȱ offendersȱ toȱ mediationȱ orȱ familyȱ groupȱ conferencingȱ (herstelgerichtȱ groepsoverleg).50_{ȱ Ifȱ anȱ agreementȱ isȱ reachedȱ andȱ} carriedȱ outȱ priorȱ toȱ theȱ judgementȱ ofȱ theȱ juvenileȱ court,ȱ theȱ courtȱ shouldȱ takeȱ thisȱ intoȱ account.51_{ȱ Ifȱ theȱ agreementȱ isȱ completedȱ afterȱ theȱ courtȱ hasȱ} pronouncedȱjudgement,ȱitȱcanȱreviseȱitsȱdecisionȱifȱsoȱdesired.52_ȱȱ

Inȱ principle,ȱ allȱ typesȱ ofȱ offencesȱ canȱ beȱ referredȱ toȱ theȱ presentȱ formȱ ofȱ mediationȱ inȱ Belgium.ȱ Thisȱ holdsȱ especiallyȱ trueȱ forȱ seriousȱ offences,ȱ asȱ Belgiumȱalsoȱhasȱmediationȱprogrammesȱthatȱcanȱleadȱtoȱdiversionȱfromȱtheȱ criminalȱ justiceȱ system;ȱ theseȱ programmesȱ mainlyȱ dealȱ withȱ misdemeanours.ȱTheȱoutcomeȱofȱaȱmediationȱthatȱisȱusedȱasȱpartȱofȱregularȱ courtȱproceedingsȱmayȱvaryȱfromȱfinancialȱcompensationȱtoȱapologiesȱbyȱtheȱ offender.ȱȱ

ȱ

45ȱȱ Seeȱ alsoȱ I.ȱ Aertsen,ȱ ‘Theȱ Intermediateȱ Positionȱ ofȱ Restorativeȱ Justice:ȱ Theȱ Caseȱ ofȱ Belgium’,ȱin:ȱI.ȱAertsen,ȱT.ȱDaemsȱ&ȱL.ȱRobertȱ(eds.),ȱInstitutionalizingȱRestorativeȱJustice,ȱ Devon:ȱWillanȱPublishingȱ2006,ȱpp.ȱ71Ȭ72.ȱ

46ȱȱ I.ȱAertsen,ȱ‘VictimȬoffenderȱmediationȱinȱBelgium’,ȱin:ȱTheȱEuropeanȱForumȱforȱVictimȬ OffenderȱMediationȱandȱRestorativeȱJusticeȱ2000,ȱp.ȱ159.ȱSeeȱalsoȱAertsenȱ2004,ȱpp.ȱ218ff.ȱȱ 47ȱȱ C.ȱ vanȱ denȱ Wyngaert,ȱ Strafrecht,ȱ strafprocesrechtȱ &ȱ internationaalȱ strafrecht,ȱ AntȬ

werp/Apeldoorn:ȱMakluȱ2006,ȱpp.ȱ542ff.ȱ

48ȱȱ Thisȱ isȱ anȱ exceptionȱ toȱ theȱ requirementȱ ofȱ confidentialityȱ laidȱ downȱ inȱ theȱ sameȱ provision.ȱ

49ȱȱ Arts.ȱ163ȱandȱ195ȱWvSv.ȱ

50ȱȱ SeeȱalsoȱA.ȱWolthuis,ȱ‘HerstelȱinȱdeȱBelgischeȱjeugdwet’,ȱProcesȱ2008Ȭ5,ȱpp.ȱ168Ȭ176;ȱandȱ I.ȱ Vanfraechem,ȱ ‘Herstelȱ enȱ deȱ Belgischeȱ jeugdwet’,ȱ Tijdschriftȱ voorȱ Herstelrechtȱ 2007Ȭ3,ȱ pp.ȱ7Ȭ18.ȱ

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CHAPTERȱ2ȱ–ȱVICTIMȬOFFENDERȱMEDIATIONȱȱ ȱ ȱ ȱ ȱ PolandȱhasȱintroducedȱtheȱuseȱofȱvictimȬoffenderȱmediationȱinȱregularȱcourtȱ proceedingsȱ fairlyȱ recently.ȱ Inȱ 2003,ȱ theȱ possibilityȱ toȱ referȱ aȱ caseȱ toȱ mediationȱ atȱ anyȱ stageȱ ofȱ penalȱ proceedingsȱ wasȱ addedȱ toȱ theȱ Codeȱ ofȱ CriminalȱProcedureȱ(Kodeksȱpost¿powaniaȱkarnego,ȱKPK).53_{ȱAsȱaȱresult,ȱvictimȬ} offenderȱmediationȱbothȱasȱaȱdiversionaryȱmeasureȱandȱduringȱtheȱcriminalȱ proceedingsȱhaveȱbecomeȱpossibleȱtoo.54_ȱ

Duringȱ regularȱ courtȱ proceedings,ȱ theȱ courtȱ canȱ referȱ adultȱ offendersȱ toȱ mediationȱ(theȱstateȱprosecutorȱcanȱdoȱsoȱduringȱpreliminaryȱproceedings).ȱ AccordingȱtoȱArt.ȱ23a,ȱpara.ȱ1ȱKPKȱ(inȱconjunctionȱwithȱArt.ȱ489ȱKPKȱifȱtheȱ prosecutionȱ isȱ privatelyȱ instigated),ȱ theyȱ mayȱ doȱ soȱ ofȱ theirȱ ownȱ accordȱ orȱ withȱtheȱconsentȱofȱtheȱparties.ȱTheȱprosecutorȱmustȱtakeȱtheȱoutcomeȱofȱtheȱ mediationȱprocessȱintoȱaccountȱinȱdecidingȱonȱtheȱsubmissionȱofȱtheȱcaseȱtoȱ court.ȱIfȱtheȱoffenderȱisȱcharged,ȱtheȱresultȱofȱaȱmediationȱcanȱbeȱtakenȱintoȱ considerationȱbyȱtheȱcourt.ȱAccordingȱtoȱArticleȱ53,ȱparagraphȱ3ȱofȱtheȱPenalȱ Codeȱ (Kodeksȱ karny,ȱ KK),ȱ aȱ positiveȱ outcomeȱ ofȱ theȱ mediationȱ canȱ haveȱ aȱ mitigatingȱeffectȱonȱtheȱcourt’sȱsentencingȱdecision.ȱTheȱcourtȱcanȱdecideȱtoȱ conditionallyȱ suspendȱ theȱ proceedings,ȱ orȱ toȱ passȱ sentenceȱ withoutȱ tryingȱ theȱ case.55_{ȱ However,ȱ theȱ mediationȱ outcomeȱ shouldȱ notȱ prescribeȱ anyȱ} solutionȱinȱaȱparticularȱcase.56_{ȱFurthermore,ȱtheȱseverityȱofȱaȱsentenceȱcanȱbeȱ} adjustedȱ throughȱ extraordinaryȱ mitigation.ȱ Thisȱ canȱ beȱ doneȱ inȱ casesȱ specifiedȱ byȱ law,57_{ȱ especiallyȱ ifȱ theȱ victimȱ andȱ theȱ accusedȱ haveȱ beenȱ} reconciled,ȱifȱtheȱdamageȱhasȱbeenȱrepaired,ȱorȱifȱtheȱvictimȱandȱtheȱaccusedȱ haveȱ agreedȱ onȱ howȱ thisȱ willȱ beȱ done.58_{ȱ Theȱ conceptȱ ofȱ extraordinaryȱ} mitigationȱ entailsȱ thatȱ aȱ sentenceȱ canȱ beȱ mitigated,ȱ toȱ theȱ pointȱ thatȱ theȱ sentenceȱ imposedȱ isȱ lowerȱ thanȱ theȱ minimumȱ penaltyȱ forȱ theȱ offenceȱ concerned.ȱ Extraordinaryȱ mitigationȱ mayȱ beȱ appliedȱ ifȱ theȱ minimumȱ sentenceȱisȱconsideredȱincommensurateȱwithȱtheȱcaseȱconcerned.59_ȱȱ

Theȱ Juvenileȱ Justiceȱ Actȱ (Ustawaȱ oȱ post¿powaniuȱ wȱ sprawachȱ nieletnich,ȱ UPSN)ȱ regulatesȱ victimȬoffenderȱ mediationȱ forȱ juvenileȱ offenders.ȱ Juvenileȱ offendersȱcanȱbeȱsubjectedȱtoȱaȱmeasureȱthatȱobligesȱthemȱtoȱapologiseȱtoȱtheȱ victimȱ andȱ repairȱ anyȱ damageȱ caused.60_{ȱ Thisȱ obligationȱ isȱ oneȱ ofȱ theȱ} educationalȱ andȱ correctiveȱ measuresȱ thatȱ inȱ theȱ UPSNȱ aimȱ atȱ encouragingȱ minorsȱ toȱ acceptȱ theirȱ socialȱ andȱ civicȱ responsibilities.61_{ȱ Referralsȱ toȱ} mediationȱonȱthisȱbasisȱmustȱbeȱmadeȱbyȱtheȱfamilyȱjudgeȱandȱareȱgenerallyȱ

53ȱȱ Art.ȱ23aȱKPK,ȱwhichȱreplacedȱtheȱpreviousȱArt.ȱ320ȱKPK.ȱAlso,ȱseeȱB.ȱFellegi,ȱMeetingȱtheȱ Challengesȱ ofȱ Introducingȱ VictimȬOffenderȱ Mediationȱ inȱ Centralȱ andȱ Easternȱ Europeanȱ Countries,ȱ Leuven:ȱ Europeanȱ Forumȱ forȱ VictimȬOffenderȱ Mediationȱ andȱ Restorativeȱ Justiceȱ2005,ȱp.ȱ39.ȱ

54ȱȱ Fellegiȱ2005,ȱpp.ȱ38Ȭ39;ȱMiersȱ&ȱWillemsensȱ(eds.)ȱ2004,ȱp.ȱ105;ȱandȱMiersȱ2001,ȱp.ȱ50.ȱ 55ȱȱ Fellegiȱ2005,ȱp.ȱ40.ȱ

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PARTȱONEȱ–ȱINTRODUCTIONȱ ȱ ȱ ȱ ȱȱ madeȱduringȱpreliminaryȱproceedings.ȱIfȱtheȱvictimȱandȱtheȱoffenderȱreachȱ anȱ agreement,ȱ thisȱ willȱ beȱ presentedȱ toȱ theȱ courtȱ atȱ theȱ sentencingȱ stage.62_ȱ Theȱfulfilmentȱofȱtheȱagreementȱmayȱleadȱtoȱaȱmitigationȱofȱtheȱsentenceȱorȱ toȱaȱchangeȱofȱtheȱeducationalȱmeasures.63_ȱȱ Polandȱhasȱnoȱformalȱregulationsȱonȱwhichȱoffencesȱqualifyȱforȱaȱreferralȱ toȱvictimȬoffenderȱmediation.ȱThisȱholdsȱtrueȱforȱcasesȱwithȱbothȱadultȱandȱ juvenileȱoffenders.64_{ȱAsȱinȱBelgium,ȱmediationȱoutcomesȱvaryȱfromȱfinancialȱ} compensationȱtoȱanȱapologyȱbyȱtheȱoffender.ȱ ȱ ȱ 2.4ȱ VictimȬOffenderȱMediationȱafterȱConvictionȱandȱSentencingȱ ȱ

Theȱ thirdȱ categoryȱ ofȱ victimȬoffenderȱ mediationȱ concernsȱ mediationȱ thatȱ takesȱ placeȱ afterȱ theȱ offenderȱ hasȱ beenȱ convictedȱ andȱ sentenced,ȱ andȱ supplementaryȱtoȱcriminalȱjusticeȱproceedings.65_{ȱItȱisȱmainlyȱseriousȱcrimesȱ} thatȱ qualifyȱ forȱ thisȱ typeȱ ofȱ mediation,ȱ which,ȱ asȱ aȱ result,ȱ isȱ mostȱ oftenȱ executedȱ whileȱ theȱ offenderȱ isȱ incarcerated.ȱ Hereȱ too,ȱ theȱ useȱ ofȱ mediationȱ canȱbeȱjustifiedȱbyȱtakingȱtheȱconceptȱofȱultimumȱremediumȱandȱtheȱprincipleȱ ofȱsubsidiarityȱintoȱaccount.ȱTheȱcrimesȱconcernedȱareȱclearlyȱconsideredȱtooȱ seriousȱ toȱ involveȱ victimȬoffenderȱ mediationȱ priorȱ toȱ theȱ convictionȱ andȱ sentencingȱofȱoffenders,ȱsinceȱthisȱoptionȱhasȱnotȱbeenȱexploredȱatȱanȱearlierȱ stage.ȱ Aȱ successfulȱ outcomeȱ ofȱ theȱ currentȱ typeȱ ofȱ mediationȱ thereforeȱ neitherȱ leadsȱ toȱ diversion,ȱ norȱ doesȱ itȱ haveȱ anyȱ effectȱ onȱ theȱ court’sȱ sentencingȱ decision.ȱ Theȱ dialogueȱ betweenȱ victimsȱ andȱ offendersȱ willȱ thusȱ primarilyȱ beȱ focusedȱ onȱ repairingȱ emotionalȱ harm.ȱ Consequently,ȱ theȱ requestȱ toȱ startȱ aȱ mediationȱ afterȱ theȱ offenderȱ hasȱ beenȱ convictedȱ andȱ sentencedȱisȱusuallyȱmadeȱbyȱtheȱvictimȱorȱtheȱoffender.ȱȱ

Inȱ viewȱ ofȱ theȱ above,ȱ theȱ momentȱ thatȱ theȱ courtȱ hasȱ givenȱ itsȱ definitiveȱ rulingȱonȱaȱcaseȱcanȱbeȱtermedȱasȱtheȱlowerȱlimitȱofȱthisȱmodalityȱofȱvictimȬ offenderȱ mediation;ȱ mediationȱ afterȱ thatȱ timeȱ canȱ noȱ longerȱ influenceȱ theȱ court’sȱfinalȱdecision.ȱTheoretically,ȱtheȱupperȱlimitȱcanȱbeȱconsideredȱnonȬ existent,ȱasȱmediationȱsessionsȱcanȱinȱprincipleȱbeȱconvenedȱasȱlongȱasȱbothȱ theȱ victimȱ andȱ theȱ offenderȱ agreeȱ toȱ participate.ȱ However,ȱ thisȱ assumptionȱ mayȱhaveȱundesirableȱconsequences.ȱForȱexample,ȱvictimsȱthatȱareȱrequestedȱ toȱengageȱinȱmediationȱregardingȱcrimesȱcommittedȱaȱlongȱtimeȱagoȱmightȱ beȱ distressedȱ byȱ beingȱ confrontedȱ yetȱ againȱ withȱ criminalȱ eventsȱ fromȱ theȱ past.ȱ Moreover,ȱ notȱ settingȱ anȱ upperȱ limitȱ mightȱ alsoȱ encounterȱ practicalȱ problems,ȱ suchȱ asȱ havingȱ toȱ traceȱ aȱ victimȱ yearsȱ afterȱ theȱ crimeȱ wasȱ committed.ȱ Itȱ wouldȱ thereforeȱ beȱ wiseȱ toȱ setȱ anȱ upperȱ limitȱ forȱ mediationȱ afterȱconvictionȱandȱsentencingȱtoo.ȱTheȱmomentȱthatȱoffendersȱhaveȱservedȱ theirȱ sentenceȱ andȱ thusȱ paidȱ theirȱ duesȱ wouldȱ beȱ theȱ logicalȱ choice;ȱ fromȱ

62ȱȱ Art.ȱ3aȱUPSN.ȱ

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CHAPTERȱ2ȱ–ȱVICTIMȬOFFENDERȱMEDIATIONȱȱ ȱ ȱ ȱ ȱ thatȱmomentȱon,ȱformerȱprisonersȱareȱnoȱlongerȱregardedȱasȱoffendersȱbyȱtheȱ criminalȱjusticeȱsystem.ȱSettingȱaȱdeadlineȱforȱmediation,ȱhowever,ȱshouldȱbeȱ leftȱtoȱtheȱdiscretionȱofȱnationalȱjurisdictions.ȱȱ

Ofȱ theȱ threeȱ categoriesȱ ofȱ victimȬoffenderȱ mediationȱ presentedȱ inȱ thisȱ chapter,ȱtheȱmodalityȱdiscussedȱinȱthisȱsectionȱisȱtheȱleastȱfrequentlyȱused.66_ȱ TheȱexistingȱprogrammesȱareȱprimarilyȱprojectȬbasedȱandȱstillȱexperimental.ȱ Asȱ theȱ outcomeȱ ofȱ mediationȱ afterȱ convictionȱ andȱ sentencingȱ cannotȱ influenceȱ theȱ court’sȱ finalȱ decision,ȱ thisȱ modalityȱ rarelyȱ hasȱ anȱ extensiveȱ legalȱbasis;ȱitȱisȱmostlyȱfoundedȱonȱgeneralȱprovisionsȱstatingȱthatȱmediationȱ isȱpossibleȱatȱallȱstagesȱofȱtheȱcriminalȱjusticeȱprocess.67_ȱ

DueȱtoȱtheȱrelativeȱscarcityȱofȱthisȱmodalityȱofȱvictimȬoffenderȱmediation,ȱ andȱtheȱabsenceȱofȱaȱspecificȱlegalȱbasis,ȱaȱdiscussionȱofȱtwoȱmainȱexamplesȱ similarȱ toȱ thatȱ inȱ theȱ previousȱ sectionsȱ cannotȱ beȱ presentedȱ here.ȱ Instead,ȱ belowȱthreeȱmanifestationsȱofȱthisȱmodalityȱwillȱbeȱaddressedȱbriefly.ȱȱ

ȱ

Belgiumȱ hasȱ beenȱ experimentingȱ withȱ mediationȱ betweenȱ convictedȱ offendersȱ andȱ theirȱ victimsȱ sinceȱ Juneȱ 2000,ȱ whenȱ theȱ Belgianȱ federalȱ governmentȱ decidedȱ thatȱ allȱ prisonsȱ mustȱ developȱ aȱ ‘restorativeȬorientedȱ systemȱ ofȱ detention’.68_{ȱ Toȱ thisȱ end,ȱ restorativeȱ justiceȱ advisorsȱ wereȱ} appointedȱ inȱ everyȱ prison.ȱ Theirȱ dutiesȱ includedȱ supportingȱ theȱ developmentȱ ofȱ culture,ȱ skills,ȱ andȱ programmes,ȱ whichȱ giveȱ roomȱ toȱ theȱ victim’sȱneedsȱandȱrestorativeȱanswers.69_{ȱInȱ2008,ȱtheȱpositionȱofȱrestorativeȱ} justiceȱ advisorȱ wasȱ abolishedȱ andȱ itsȱ tasksȱ wereȱ assignedȱ toȱ theȱ regionalȱ directionalȱ boardsȱ ofȱ theȱ DirectorateȬGeneralȱ forȱ Penitentiaryȱ Institutionsȱ (DirectoraatȬGeneraalȱPenitentiaireȱInrichtingen).70_{ȱAlso,ȱinȱ2001,ȱtheȱmediationȱ} umbrellaȱorganisationȱSuggnomèȱhadȱsetȱupȱaȱmediationȱprogrammeȱinȱthreeȱ Flemishȱ prisons,ȱ organisingȱ mediationȱ sessionsȱ betweenȱ victimsȱ andȱ offendersȱ onȱ requestȱ withȱ theȱ helpȱ ofȱ mediatorsȱ fromȱ theȱ mediationȬforȬ redressȱprogramme.71_{ȱTheȱmainȱobjectiveȱofȱtheseȱsessionsȱwasȱtoȱestablishȱaȱ} meaningfulȱdialogueȱbetweenȱtheȱvictimȱandȱtheȱoffender.72_ȱ

Theȱ Netherlandsȱ usesȱ variousȱ restorativeȱ measures,ȱ oneȱ ofȱ whichȱ wasȱ restorativeȱ mediationȱ (herstelbemiddeling),ȱ whichȱ generallyȱ tookȱ placeȱ afterȱ theȱ convictedȱ offenderȱ hadȱ beenȱ sentenced.ȱ Itȱ focusedȱ onȱ nonȬmaterialȱ orȱ symbolicȱ reparation,ȱ asȱ wellȱ asȱ onȱ helpingȱ theȱ victimȱ andȱ theȱ offenderȱ toȱ copeȱ withȱ theȱ psychologicalȱ consequencesȱ ofȱ theȱ crimeȱ andȱ itsȱ aftermath.ȱ Thisȱtypeȱofȱmediationȱwasȱhopedȱtoȱimproveȱtheȱqualityȱofȱtheȱlivesȱofȱtheȱ partiesȱ involved,ȱ andȱ toȱ facilitateȱ andȱ stimulateȱ theȱ reintegrationȱ ofȱ theȱ

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offenderȱ inȱ society.73_{ȱ Theȱ projectȱ wasȱ neverthelessȱ abandonedȱ inȱ 2003,ȱ notȱ} becauseȱtheȱclientsȱwereȱdissatisfied,ȱbutȱbecauseȱtheȱfoundingȱorganisationsȱ consideredȱ theȱ projectȱ toȱ beȱ unsatisfactorilyȱ embeddedȱ inȱ theirȱ organisations.74_{ȱCurrently,ȱDutchȱ(mostly)ȱjuvenileȱdetainees,ȱtheirȱfamilies,ȱ} andȱ theirȱ victims,ȱ areȱ invitedȱ toȱ engageȱ inȱ restorativeȱ meetingsȱ onȱ aȱ smallȱ scale.75_ȱ Finally,ȱPolandȱalsoȱoffersȱmediationȱtoȱvictimsȱandȱoffendersȱduringȱtheȱ sentencingȱphase;ȱtheȱPolishȱprisonȱserviceȱcanȱinitiateȱmediationȱduringȱtheȱ termȱofȱanȱadultȱoffender’sȱcustodialȱsentence.76_ȱȱ ȱ ȱ 2.5ȱ Conclusionȱ ȱ

Theȱ existingȱ formsȱ ofȱ victimȬoffenderȱ mediationȱ canȱ beȱ dividedȱ intoȱ threeȱ mainȱ categories;ȱ victimȬoffenderȱ mediationȱ asȱ aȱ diversionaryȱ measure,ȱ asȱ partȱofȱregularȱcourtȱproceedings,ȱandȱafterȱconvictionȱandȱsentencing.ȱTheȱ notionȱ ofȱ ultimumȱ remediumȱ andȱ theȱ principleȱ ofȱ subsidiarityȱ justifyȱ theȱ potentialȱ influenceȱ ofȱ mediationȱ onȱ theȱ courseȱ orȱ outcomeȱ ofȱ criminalȱ proceedings.ȱ Fromȱ criminalȱ lawȱ theoryȱ itȱ followsȱ thatȱ aȱ crimeȱ shouldȱ beȱ dealtȱwithȱthroughȱtheȱleastȱradicalȱreaction.ȱAsȱvictimȬoffenderȱmediationȱisȱ generallyȱconsideredȱtoȱbeȱsuchȱaȱmoreȱmoderateȱresponse,ȱitȱshouldȱbeȱusedȱ wheneverȱaddedȱvalueȱcanȱbeȱexpected.ȱ

VictimȬoffenderȱ mediationȱ isȱ mostȱ commonlyȱ usedȱ beforeȱ andȱ duringȱ aȱ criminalȱ trial.ȱ Theseȱ mediationȱ modalitiesȱ usuallyȱ haveȱ aȱ statutoryȱ basis.ȱ Theirȱoutcomeȱmayȱinfluenceȱtheȱcourseȱofȱtheȱcriminalȱjusticeȱproceedings;ȱ theȱprosecutionȱmayȱeitherȱbeȱterminatedȱ(diversion)ȱorȱtheȱoutcomeȱofȱtheȱ mediationȱprocessȱmayȱaffectȱtheȱcourt’sȱsentencingȱdecisionȱ(partȱofȱregularȱ courtȱ proceedings).ȱ Mediationȱ programmesȱ thatȱ canȱ leadȱ toȱ diversionȱ generallyȱ dealȱ withȱ minorȱ offences.ȱ Mediationȱ duringȱ regularȱ courtȱ proceedingsȱ canȱ alsoȱ addressȱ moreȱ seriousȱ crimes.ȱ Theȱ answerȱ toȱ theȱ questionȱ whichȱ offencesȱ qualifyȱ forȱ eitherȱ theȱ firstȱ orȱ theȱ secondȱ modalityȱ differsȱbetweenȱcountries.ȱȱ

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ȱ

ȱ ȱ

Theȱ categorisationȱ ofȱ theȱ variousȱ formsȱ ofȱ victimȬoffenderȱ mediationȱ hasȱ playedȱ aȱ centralȱ partȱ inȱ thisȱ research.ȱ Forȱ eachȱ ofȱ theȱ threeȱ modalitiesȱ identifiedȱ theȱ roleȱ ofȱ confidentialityȱ willȱ haveȱ toȱ beȱ examined,ȱ butȱ firstȱ theȱ nextȱ chapterȱ willȱ turnȱ toȱ theȱ proceduralȱ requirementsȱ forȱ victimȬoffenderȱ mediation.ȱȱ

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3ȱ

StandardsȱforȱVictimȬOffenderȱMediationȱ

ȱ ȱ 3.1ȱ Introductionȱ ȱ VictimȬoffenderȱmediationȱaimsȱatȱestablishingȱcontactȱbetweenȱaȱvictimȱandȱ anȱ offenderȱ throughȱ theȱ helpȱ ofȱ anȱ impartialȱ thirdȱ partyȱ orȱ mediator.ȱ Toȱ createȱ aȱ favourableȱ settingȱ forȱ theȱ interactionȱ betweenȱ theȱ victimȱ andȱ theȱ offender,ȱ penalȱ mediationȱ hasȱ toȱ meetȱ variousȱ requirements.ȱ Theseȱ requirementsȱ secureȱ andȱ facilitateȱ aȱ properȱ progressȱ andȱ conclusionȱ ofȱ theȱ procedure.ȱ Asȱ aȱ result,ȱ theȱ interestsȱ ofȱ theȱ victimȱ andȱ theȱ offenderȱ areȱ protected,ȱandȱtheyȱareȱableȱtoȱopenlyȱdiscussȱtheirȱcaresȱandȱconcerns.ȱTheȱ needȱ forȱ standardsȱ toȱ regulateȱ victimȬoffenderȱ mediationȱ isȱ generallyȱ acknowledged,ȱandȱthisȱhasȱledȱtoȱtheȱnationalȱandȱinternationalȱcodificationȱ ofȱtheseȱstandards.ȱȱ

ȱTheȱ Councilȱ ofȱ Europeȱ andȱ theȱ Unitedȱ Nationsȱ haveȱ strivedȱ forȱ internationalȱ harmonisationȱ ofȱ mediationȱ norms.ȱ Bothȱ organisationsȱ haveȱ adoptedȱ detailedȱ protocolsȱ concerningȱ victimȬoffenderȱ mediation.ȱ Inȱ 1999,ȱ theȱ Councilȱ ofȱ Europeȱ issuedȱ theȱ Recommendationȱ onȱ Mediationȱ inȱ Penalȱ Matters,77_{ȱ andȱ inȱ Julyȱ 2002ȱ theȱ Economicȱ andȱ Socialȱ Councilȱ ofȱ theȱ Unitedȱ} NationsȱadoptedȱaȱresolutionȱwhichȱnotesȱtheȱBasicȱPrinciplesȱonȱtheȱUseȱofȱ Restorativeȱ Justiceȱ Programmesȱ inȱ Criminalȱ Mattersȱ (hereafter:ȱ Basicȱ Principles).78_{ȱBothȱdocumentsȱincludeȱguidelinesȱforȱnationalȱpolicymakers.ȱ} Theȱ stipulationsȱ thusȱ haveȱ noȱ bindingȱ effect,ȱ butȱ areȱ intendedȱ toȱ giveȱ orientationȱandȱsupportȱtoȱthoseȱpreparedȱandȱwillingȱtoȱuseȱthem.79_ȱȱ

Inȱ someȱ cases,ȱ theȱ requirementsȱ ofȱ victimȬoffenderȱ mediationȱ haveȱ beenȱ codifiedȱ nationally.ȱ Variousȱ countriesȱ thatȱ offerȱ victimȬoffenderȱ mediationȱ haveȱ includedȱ aȱ numberȱ ofȱ theȱ standardsȱ inȱ relevantȱ legislationȱ orȱ policyȱ documents.ȱȱ

ȱ

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CHAPTERȱ3ȱ–ȱSTANDARDSȱFORȱVICTIMȬOFFENDERȱMEDIATIONȱ ȱ ȱȱ ȱ ȱ 3.2ȱ StandardsȱApplyingȱtoȱtheȱVictimȱandȱtheȱOffenderȱȱ ȱ 3.2.1ȱ AcknowledgementȱofȱBasicȱFactsȱbyȱtheȱVictimȱandȱtheȱOffenderȱȱ ȱ

VictimȬoffenderȱ mediationȱ isȱ aȱ participatoryȱ procedureȱ thatȱ focusesȱ onȱ communicationȱ betweenȱ theȱ victimȱ andȱ theȱ offender.ȱ Itȱ enablesȱ victimsȱ toȱ expressȱ theirȱ needsȱ andȱ feelingsȱ andȱ offendersȱ toȱ acceptȱ andȱ actȱ onȱ theirȱ responsibilitiesȱ regardingȱ theȱ crimeȱ concerned.80_{ȱ Toȱ facilitateȱ theȱ} establishmentȱofȱaȱdialogueȱbetweenȱbothȱparties,ȱcertainȱconditionsȱhaveȱtoȱ beȱ met.ȱ Oneȱ ofȱ theseȱ conditionsȱ isȱ thatȱ theȱ victimȱ andȱ theȱ offenderȱ acknowledgeȱtheȱbasicȱfactsȱofȱaȱcase.ȱTheȱreasonȱforȱthisȱisȱthatȱitȱwouldȱbeȱ uselessȱtoȱstartȱaȱmediationȱifȱtheȱvictimȱandȱtheȱoffenderȱdidȱnotȱrecogniseȱ theȱ occurrenceȱ andȱ circumstancesȱ ofȱ theȱ crime.ȱ Withoutȱ thisȱ mutualȱ understanding,ȱitȱwouldȱbeȱimpossibleȱtoȱreachȱanȱagreement.ȱItȱisȱthereforeȱ consideredȱ ‘conventionalȱwisdom’81_{ȱ thatȱ theȱ basicȱ factsȱ ofȱ aȱ caseȱ shouldȱ beȱ} acknowledgedȱbeforeȱtheȱstartȱofȱaȱmediation.82_ȱ

Theȱ basicȬfactsȱ requirementȱ isȱ includedȱ inȱ theȱ Councilȱ ofȱ Europeȱ Recommendationȱ andȱ theȱ Unitedȱ Nationsȱ Basicȱ Principles.ȱ Bothȱ protocolsȱ stateȱthatȱtheȱpartiesȱshouldȱacknowledgeȱtheȱbasicȱfactsȱofȱaȱcaseȱasȱaȱbasisȱ forȱ mediation.83_{ȱ Furthermore,ȱ bothȱ documentsȱ addȱ thatȱ participationȱ inȱ} mediationȱ shouldȱ notȱ beȱ usedȱ asȱ evidenceȱ ofȱ admissionȱ ofȱ guiltȱ inȱ subsequentȱlegalȱproceedings.ȱTheȱlegalȱnotionȱofȱtheȱoffender’sȱguiltȱisȱthusȱ separatedȱfromȱtheȱbasicȬfactsȱrecognition.ȱThisȱrecognitionȱshouldȱthereforeȱ notȱbeȱconsideredȱanȱadmissionȱofȱguiltȱinȱtheȱlegalȱsenseȱofȱtheȱword,ȱasȱthisȱ wouldȱ infringeȱ theȱ presumptionȱ ofȱ innocenceȱ asȱ laidȱ downȱ inȱ Articleȱ 6,ȱ paragraphȱ 2ȱ ofȱ theȱ Europeanȱ Conventionȱ onȱ Humanȱ Rightsȱ (ECHR)ȱ andȱ Articleȱ14,ȱparagraphȱ2ȱofȱtheȱInternationalȱCovenantȱonȱCivilȱandȱPoliticalȱ Rightsȱ (ICCPR).84_{ȱ Theȱ offender’sȱ acceptanceȱ ofȱ responsibilityȱ forȱ whatȱ hasȱ} happenedȱisȱgenerallyȱassumedȱtoȱbeȱsufficient.85_ȱȱ

Variousȱ jurisdictionsȱ haveȱ incorporatedȱ theȱ basicȬfactsȱ standardȱ inȱ

80ȱȱ Statementȱ onȱ theȱ Positionȱ ofȱ theȱ Victimȱ withinȱ theȱ Processȱ ofȱ Mediationȱ ofȱ theȱ Europeanȱ ForumȱforȱVictimȱServicesȱ(2004).ȱFurther,ȱseeȱChapterȱTwo.ȱȱ

81ȱȱ M.S.ȱ Groenhuijsen,ȱ ‘VictimȬOffenderȱ Mediation:ȱ Legalȱ andȱ Proceduralȱ Safeguards.ȱ ExperimentsȱandȱLegislationȱinȱsomeȱEuropeanȱJurisdictions’,ȱin:ȱTheȱEuropeanȱForumȱ forȱ VictimȬOffenderȱ Mediationȱ andȱ Restorativeȱ Justice,ȱ VictimȬOffenderȱ Mediationȱ inȱ Europe.ȱMakingȱRestorativeȱJusticeȱWork,ȱLeuven:ȱLeuvenȱUniversityȱPressȱ2000,ȱpp.ȱ77Ȭ78.ȱ 82ȱȱ SeeȱalsoȱA.ȱDuff,ȱ‘RestorationȱandȱRetribution’,ȱin:ȱA.ȱvonȱHirschȱetȱal.ȱ(eds.),ȱRestorativeȱ

JusticeȱandȱCriminalȱJustice:ȱCompetingȱorȱReconcilableȱParadigms?,ȱOxford:ȱHartȱ2003,ȱpp.ȱ 50Ȭ51.ȱ

83ȱȱ Paragraphȱ14ȱofȱtheȱRecommendationȱandȱParagraphȱ8ȱofȱtheȱBasicȱPrinciples.ȱ