Professional Documents
Culture Documents
Doina Balahur RJ Vom Romania
Doina Balahur RJ Vom Romania
18 September
RESTORATIVE
JUSTICE
AND
VICTIM
OFFENDER
MEDIATION IN ROMANIA1
Doina Balahur
Introduction
The analysis of regulations directing and guiding restorative justice
acquires meaning only if it is interpreted within the wider context of the
transformations of the modern law and mainly of the modern world itself.
It is not the aim of this chapter to make such an investigation, but the need
for such interpretation must at least be recognised. This is because it
comprises the reference point against which it is possible to appreciate not
only the rapid growth of the new alternative dispute resolution practices,
and especially of restorative justice, but also the why of the of the
substantial ground it has gained within the last decade, even in the former
communist countries. During this time restorative justice has attracted the
attention of the leading interdisciplinary scientific research sociological,
juridical and criminological at both the European and the international
level. It owes its central status to the potential that its values, principles
and programmes have as the basis for an alternative paradigm of justice, of
conflict resolution and of safer communities. In his recent book, Ivo
Aertsen and his colleagues concluded that these virtues were so well
recognised that it is possible to speak today about the institutionalizing of
Restorative justice (Aertsen et al, 2006).
Nobody doubts today that modern law has lost its empire, a
consequencence of a long list of discontent about laws capacity to deliver
1
In Aertsen, Ivo and David Miers (Eds) (forthcoming) Restorative Justice : Evaluative Findings in
Europe, Bremen, Polizei und Wissenschaft.
on even its most basic claims for legitimacy. Among these is the striking
and repated failure of the modern system of formal justice to keep its
promise to be an objective and fair means of conflict resolution (Balahur
and Balahur (2005). This observation is supported by a large body of
research, undertaken from the perspective of a wide range of social and
legal disciplines, which has signaled the emergence of less formalized
models of social and political crime control and the pluralization of the
justice providers. The explanations that have accompanied these changes
vary appreciably among different disciplines and scholars. Some consider
that restorative justices recent visibility is closely associated with the end
of one of the foundational myths of the modern society: the myth that the
sovereign state is capable of delivering law and order and controlling
crime within its territorial boundaries (Garland, 2001: 109). Echoing
Garlands ideas, other authors consider that we are now observing a shift
from adjudication to administration (Mayerhofer,
The changes that are the subject of a number of different studies and
research projects are occurring right before our eyes. An empirical
comparative analysis of the state of art in different legal systems and
legislative provision, from Asia to Europe and from America to Australia,
would undoubtedly observe, at a first glance, that almost everywhere
reform is the all encompassing strategy under which the major changes in
the justice systems are undertaken. This strategy aims at a better quality of
justice and its is frequently closely connected to the implementation of
We see these changes also at work within Europe. Within the processes
opened by the Treaty of Amsterdam, aiming to build the European area of
Freedom, Justice and Security, both Member and candidate States have
been obliged to change and to adapt their national legislation in order to
improve acccess to justice, integrate provisions regarding the protection of
the victims of crimes, 3 and also promote alternative dispute resolution.
According to the Directive of the European Parliament and of the Council
in 2004,4 access to justice should include promoting access to adequate
dispute resolution processes for individuals and business, and not just
2
The Japanese Minister of Justice (2004): Ensuring the results of justice system
reform take root http://www.moj.go.jp/ENGLISH/issues/issues01.html.
Council Directive: 2004/80/ECof 29 April 2004, relating to compensation to
crime victims.
The European Commission (2004) : Directive of the European Parliament and
of the Council on certain aspects of mediation in civil and commercial matters,
COM (2004)718.
modernise it in line with the major social movements and values in Europe
and the global society.
Legal Description
1.1
Legal base
(b)
I will briefly review the principal legal framework that has been developed
in Romania to regulate the alternative forms of dispute resolution, either
under as restorative justice practices or as mediation. In short, there are
ADR provisions in civil and commercial matters (conciliation and
mediation), domestic violence (restorative justice), work relationships
(conciliation) and in criminal matters (victim-offender mediation).
(...) before
making a legal
complaint, the parties in conflict will try to resolve their litigation through
conciliation. Based on this disposition, the Romanian Chamber of
Commerce established an independent body, the Centre for the Mediation
of Commercial Disputes (CMCD) which, in May 2003 published Rules of
Mediation Procedure.
Since 2000 domestic violence against children and women has become a
priority closely associated with the reform of the child welfare system (see
Balahur 2001, 2007). In response to an important change of direction in
the promotion and protection of childrens rights, the law has ben
constantly adjusted in order to prevent and to curb abuse, neglect, and
violence against children and women. In particular, a new law regarding
domestic violence adopted in 2003 provides alternative ways of dealing
with conflicts among family members, emphasizing the potential role that
restorative justice could have for rebuilding their relationships. 7 For the
moment, this is the only legal regulation on which restorative programmes
and practice could be based.
7
8
10
personality and patrimonial aim, formed by the family members who have
full legal capacity according to law.
Nevertheless, the
The initiative to run mediation through the family council belongs to one
of the famly members or to the familial social worker. In either case, Law
nr.217, art.20 (2) expressly states that the completed mediation procedure
does not affect the criminal trial. ADR research and evaluation typically
characterises this as a double track approach as it meets restorative
values and principles but leaves open recourse to the formal trial. The law
on domestic violence does not however regulate mediation procedure nor
clearly specify who may be a mediator or which organizational body is
entitled to authorise the mediators.
It has often been remarked that a range of criminal justice initiatives have
become associated with restorative values and principles because of the
processes they use to respond to and repair the harm caused by crime. That
is so, for example, in the case of programs designed to provide services to
crime and trafficking victims, as they recover from the crime and proceed
through the criminal justice process.9 In Romania, two statutory provisions
have such restorative justice connections: law nr. 678/2001 (revised)
regarding the Prevention of the Trafficking of Human Beings,10 and law nr.
10
11
11
Both
(c)
Legislative authority
In May 2006 the Romanian Parliament enacted the Law regarding the
Mediation and the Regulation of the Profession of Mediator.
It was
11
12
(d)
15
16
13
17
According to Article 59, the agreement at which the parties arrive can be
submitted for checking either to the public notary in order to authenticate it or to
the court for approval.
14
(d)
15
(e)
16
This arrangement, whereby the cost of mediation is paid for by the parties,
especially in criminal and family matters, appears to be unique in Europe.
The European Forum for Restorative Justices publication, Mapping
Restorative Justice: Developments in 25 European Countries (Miers and
Willemsens 2004) showed that in the countries analyzed, mediation in
criminal cases is financed mainly from public sources, by the Ministry of
Justice, Public Prosecutor, and local government (for example, Spain,
Belgium, Italy, Luxembourg, Finland, the Netherlands). In Poland the state
pays a fix amount per case.
17
before becoming a mediator in the specific case.(art.37 (2)). All in all, the
obligation of confidentiality is weak as long as the sanction for its
infringement is disciplinary liability.
Mediators are liable for their conduct during the mediation. Article 38
specifies a number of matters that may give rise to disciplinary liability: (a)
breach of the duty confidentiality; (b) refusal to answer to the judicial
authorities in cases regulated by law; (c) refusal to return the documents
provided by the parties; (d) representation of one of the parties within a
judicial or arbitration procedure dealing with the same matter as the case
under mediation; (e) other conduct that could infringe professional ethics.
The disciplinary sanctions vary according to gravity of the infringement,
from written warnings, fines from 50 500 lei (Euro 14-139), to the
temporary (one to six months) or permanent withdrawal of the mediators
authority (art.39).
(e)
The mediation procedure has, according to law, four stages. The first, the
preliminary procedure, takes place before the mediation contract is
concluded. It aims to bring the parties within the mediation procedure, to
ask for a mediators services. When only one party asks for mediation
services, the mediator will, at that partys request, invite the other to
participate. The letter of invitation will establish a term of maximum 15
days within which to accept. If the other party explicitly refuses the
invitation or does not sign the contract after having been invited twice, the
offer of mediation is considered unaccepted and the process is closed
(art.43 (1), (2) (3)). While it insists on the voluntarily nature of mediation,
18
the law nevertheless provides that mediators may make any other legal
approach that they consider useful for inviting the parties to the mediation
process, while properly oberving the other provisions governing its use
(art.43 (4)).
The mediation process cannot be carried out before the contract has been
signed by the parties. The conclusion of the mediation contract, which
must be in written form, constitutes the second stage. The contract must
specify a number of matters, subject to absolute nullification if it does not.
These are the identity of the parties; the subject matter of the dispute; the
mediators obligation to explain to them the principles, the effects and the
rules of mediation; the parties declaration that they freely accept the
mediation; their agreement to respect the rules of mediation; their
obligation to pay the honorarium and the expenses occasioned by the
mediation procedure; and their agreement regarding the language in which
the mediation will be carried out (art.45).
Once the contract is concluded, the third phase, the mediation activity, can
begin. By Article 50(1) the mediation process is based on the partiescooperation and on the special communication and negotiation techniques
and methods used by the mediator. The parties have the right to be assisted
by a lawyer (or by others), and cannot have a solution imposed on them by
the mediator. Developed as an analogue to court procedure, the process
resembles an informal trial. Article 55, for example, provides that where
the matter gives rise to difficult or controversial legal issues, the mediator,
having obtained the parties agreement, may ask for the point of view of an
expert in the field. The mediation process is so deeply embedded in the
19
The fourth and final stage is the closing procedure. This requires one of the
following conditions (art.56): the concluding of an agreement between the
parties as a result of the mediation, or its failure as a result of one of the
parties withdrawal. Whatever the reason is, the mediator must write a
note that is signed by the parties or their representatives, and by him. The
agreement that the parties have arrived at has must also be written. It must
register all the matters agreed between them, and be signed by them. It can
be submitted either to the public notary for authentication or to the court
for approval (art. 59).
1.2
Scope
Beyond its general provisions that are common to all types of mediation,
Chapter VI (art.64-70) makes special provision for the mediation of the
conflcts in two areas: family, and criminal proceedings.
20
Where there are children of the marriage, the mediation agreement should
not contravene to their best interests; for this purpose Article 66 requires
the mediator to encourage the partiess to focus mainly on their childrens
needs. But this provides no formal guarantee that their best interests will
be observed, either during the mediation procedure or after it. The formal
procedure described in the Family Code envisages a simple procedure
appropriate for couples married for more than one year and without
children (article 38). For couples who have children, the procedure is
different, and a first step that the the court takes (through a special,
emergency procedure) is to decide to whom the child(ren) should be
placed during the divorce.
There have been many voices that have called for divorce to be returned to
the civil law, as it is a contract. This is partly right, as marriage is an
agreement with obligations on each party, but it ignores the UN
Convention on Childrens Rights and more recently the jurisprudence of
the European Court of Human Rights, that childrens rights are superior to
adultsrights, and must be observed and protected by law. Consequently, if
the married couple have children, divorce procedure, whether through
mediation or in court, should contain sufficiently strong safeguards that
provide real protection for the rights of the child. This is not the case with
the provisions in art.65 in Romanian law of mediation.
21
Article 68(2) makes it clear that the parties (victim and offender) cannot be
forced into a mediated agreement. The law also contemplates that legal
safeguards should apply to mediation (art.72(2)): the parties have a right to
legal assistance and also, if need be, to benefit from translation services
(art.68(1)).
Regarding its effect, the law provides that when the mediation procedure
takes place and is completed before the beginning of the trial, the mediated
agreement (art.69(1)) between the victim and offender precludes either
prosecution or trial with respect to the same facts (according to a
fundamental principle of criminal law ne bis in idem). According to
Article 70(1), when the mediation takes place after the criminal process
has begun and the parties provide a copy of the mediation contract, the
prosecution or the trial are suspended. This suspension subsists until the
mediation has come to an agreement, but no more than three months from
the date on which the contract was signed. If they do not reach an
agreement within that period, the prosecution or the trial resumes (art.70
(2) and (4)).
18
Battery (art.180, Penal Code); Threat (art.193, Penal Code); Theft between husband an wife or
between close relatives (art.210, Penal Code) etc.
22
1.3
Organizational Arrangements
23
The mediation law established a national body with legal personality, The
Council of Mediation, whose main purpose is to ensure the promotion of
mediation and the representation of mediators interests. The Council
comprises nine members, elected by and from authorized mediators.
Council members are approved by the Ministry of Justice for a two year
term (art.17). The Council is also responsible for the authorization of
mediators and for establishing standards for professional training in
mediation. It has adopted a Code of Ethics and of professional conduct.
Its activities are self-financing. It raises funds from the authorization fees,
19
These kinds of societies may be established under the regulations of the Civil
Code, Chapter V, Title VIII, About the Contract of Society.
24
An
Analytical
Account
off
the
Political
and
Legal
Understanding of VOM / RJ
The Minister of Justices Memorandum that accompanied the draft law of
mediation as presented to the Romanian Parliament identified a number of
reasons why a statutory text on ADR was both necessary and desirable. It
emphasised that mediation had become one of the priorities in he reform of
the Romanian justice system. As an alternative to the traditional, formal
resolution of conflicts, mediation was better adapted to the new dynamics
of social and economic life and to a wide variety of conflicts and problems
(for example, domestic violence, and work relationships, civil and
commercial contracts). Closely connected to arbitration, reconciliation and
the informal resolution of conflicts, mediation could also relieve the courts
of a substantial number of the cases with which they would otherwise have
to deal. As an alternative to the formal disposition of disputes, it was also
argued that mediation better satisfies the interests and expectations of the
parties in conflict; it saves time, is less stressful and less expensive than
conventional justice. Finally, the Memorandum paid special attention to
European standards, emphasising that the overall project met the
obligations on Romania to harmonise it legislation with the acquis
communautaire in order to substantiate its accession credentials on access
to justice.
2.1
developed
The law on mediation does not exist in a vacuum. It was enacted after
almost a decade of join efforts by academic researchers (D.Balahur,
25
Taken together, these incremental steps, carried out over the past decade,
combined to support a powerful movement for the reform of the juvenile
justice system. Shared by civil society and the academic and legal
professional communities, this movement pressed for the implementation
of diversion and ADR strategies in juvenile cases. This pressure had an
important effect on the legislative process. 20 It contributed to profound
changes to the existing legal framework and to the introduction of
legislative initiatives, albeit they were set within laws that were themselves
20
Important changes to the Penal Code and the Penal Procedures Code include
widening the range of non-custodial criminal sanctions and of the diversionary
strategies. Changes in the Civil Code made reconciliation procedure
compulsory in any commercial matters. The adoption of special laws, such as
26
2.2
The steps taken on the route to reform can be understood if one starts from
the peculiarities of the Romanian criminal justice system of the 1990s,
which was deeply structured around the values of over-retribution (Balahur
2004). The common penal practice of that time could be briefly
characterized as a presumed penal route to which there were few
exceptions. The diagnosis, a young prosecutor made, in an interview
conducted in 2003, is illustrative of the state of the Romanian criminal
the Children Act 272/2004, which regulates special provisions for the child in
conflict with criminal law, contains important diversionary effects.
27
are due to the organizational culture and the values of the justice systems
institutions combined with the culture and the retributive philosophy of
punishment of the Romanian criminal law and practice in which
prosecutors are educated..
Even so, there has ben a gradual change in the mind-set of those actors
whose consent is a precondition to change. This is directly noticeable in
the development of a critique that brought into open debate a series of
options in penal law and practice that had earlier been taboo. This
critique challenged the received and hitherto unquestioned wisdom, that
once a person has entered the criminal justice system, he passes from one
stage to another without any chance of some diversion from a path that
requires completion of a sentence that itself demands the deprivation of
liberty. By contrast, consider the (paraphrased) words of a judge from the
juvenile court in Iasi spoken in 2006:
The integration of restorative justice practice could contribute to the
release of the courts from the excessive number of files and cases; it
should also be noted that, especially for crimes prosecuted on the
preliminary complaint of the victim, the parties are not correctly or
not at all informed about the consequences of a penal trial both for
the victim and the offender (expense, time, possible penal sanctions
for the offender, fines for the victim if he/she refuses without good
cause to attend court etc). For juvenile justice, restorative justice is
of special interest, as it could considerably reduce the number of
children and young offenders sentenced with custodial measures or
punishments for petty crimes, which do not necessarily represent the
28
right reparation for the offence. Instead, the juvenile justice system
opens the inevitable route of a penal system which does not offer too
many alternatives regarding youth offenders. Restorative justice
practices could provide more satisfaction to the victim if the
offender provides the right reparation and empathizes with his/her
suffering. This alternative way to the trial in court could also, in my
opinion, prevent re-offending and recidivism..
An Evaluation of Practice
3.1
As noted, the entire project incorporating the law of mediation and the
other changes to the Romanian legal system have been promoted within
the framework of European integration and the reform of the justice
system. These changes aim to meet the obligation to harmonise Romanian
legislation with the acquis communautaire on these matters. They also
seek to comply with the standards established by the Council of Europe
and the UN in the field of crime victims protection, mediation in penal
matters, and basic principles on the use of restorative justice programmes
in criminal matters.
3.2
legal
provisions
advance,
inhibit
or
orient
the
29
also addressed the conditions for accession to the European Union that
required improvement in the quality of the administration of justice,
especially through the improvement of case management, a reduction in
the backlog of cases and the implementation of alternative dispute
resolution.
Caseloads grew constantly during the 1990s. If in 1990 1,513 judges had
589,660 files (civil and criminal cases) with a caseload of 390 files per
judge, in 2003, 3,557 judges had 1,453,776 files, with a caseload per judge
of 409 files.i Under these circumstances, the effectiveness of the justice
system was among the lowest in Europe, constantly monitored by the
European Commission. The problems with which the formal system of
justice is confronted have been aggravated by institutionally endemic
corruption.
Romanians have of the justice system is also one of the lowest in Europe
and is the lowest in the hierarchy of Romanian national institutions, as the
chart below shows.21
30
21
According to the national pool data published by the Centre for Urban and
Regional Sociology (CURS), www.curs.ro, Decembre, 2005.
31
References
32