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LAW REVIEW
Journal of legal and academic research, theory and practice
2015 №5 (55)
Ulaanbaatar 2015
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LAW REVIEW 2015 ¹5(55)
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EDITORIAL BOARD
J.Amarsanaa Academician
B.Amarsanaa (LL.D)
J.Batzandan (Ph.D)
J.Bayartsetseg State Secretary, Ministry of Justice of Mongolia
B.Boldbaatar Secretary General, the Secretariat of the State Greate
Hural of Mongolia
J.Byambadorj (Ph.D)
D.Ganbat Chairman, the Standing Committee of Law of the State
Great Hural of Mongolia
B.Gunbileg (Ph.D)
D.Dorligjav Minister of Justice
Ts.Zorig Chief Justice, Supreme Court of Mongolia
O.Munkhsaikhan (LL.D)
S.Narangerel Academician
Ch.Unurbayar (Ph.D)
D.Solongo (Ph.D)
Kh.Temuujin Member of the State Great Hural of Mongolia
J.Erdenebulgan (Ph.D)
P.Tsagaan Head, the Office of the President of Mongolia
Sh.Tsogtoo (Ph.D)
Ch.Enkhbaatar (Sc.D)
Editor-in-Chief
E.Batbayar
Executive Editor-in-Chief
Mark Pennini
Acting Assistant Editor
B.Gonchigsumlaa
Ts.Odgerel
Designed by
D.Munkhjargal
3
4
CONTENT
5
INTERNATIONAL EXPERIENCE
6
Before Creating a Law
Batbayar.E, (Ph.D), Associate Professor, improve the Criminal Code’s easy of use.
Director of National Legal Institute On the whole, the Draft Code has been
developed to create a just criminal system
Mongolia has an ancient history and in the country.
tradition of state and legal culture, and had The working group dedicated to
a written legal code titled, ‘Ikh Zasag’ which the Draft Criminal Code has referred to
has been named in scripts as Ikh Zasag over 20 research papers prepared by the
(Great Governance), Ikh Yos (Great Rule), Research Center of the National Legal
Ikh Zasag Khuuli (Great Governance Law) Institute /Criminal Code Implementation
that expressed the great power and dignity 2004, Crime Classification and
of Chingis Khaan. Pointful Punishment 2005, Efficiency
Mongolia was subject to the socialist of Imprisonment 2007, Comparison
legal system for more than 70 years and, of Criminal Code and the Law on
since 1990, social structures have been Administrative Liability 2007, etc./; criminal
changing at a fundamental level. Since this laws of the United States, the Russian
time, democracy, human rights, freedom, Federation, the Federal Republic of
the rule of law and the free market Germany, the Republic of China, France,
system have been fully acknowledged Japan; the Model Criminal Code of 2007
by Mongolians and comprehensive legal developed by international experts, the
reform has been undertaken in the country. Rome Statute of the International Criminal
In Mongolia, the process of legal Court of 1998; recommendations, and the
reform has taken its strength and works advice of legal scholars and practicing
related to legal training and legal research lawyers for the preparation of the Draft
have been developing and advancing to a Code.
feasible extend. Some important novel principles that
An illustration of that is in the field of are reflected in the Draft Criminal Code
criminal law. It has been 13 years since are as follows:
the adoption of the Criminal Code in 2002 1/ The Criminal Code in its current
which is compatible with the concept of form are mainly concerned with protection
the Constitution of 1992. Currently, there from criminal attack. The new Draft
is an urgent need for the Criminal Code to Code aims to reflect the direction and
be renewed, although, it has in fact been principles comprised in the Action Plan
amended 10 times due to changing social of the Government of Mongolia for 2012-
relationships and the passage of time. 16 adopted through the 37th Resolution of
In line with that, the Government has the Parliament. This Resolution proposes
prepared the Draft Criminal Code and to create a criminal law system which is
submitted it to the Parliament. The final preventive and capable of making relevant
discussion of the Draft Code will be held in parties responsible, is compatible with
the Parliament’s Autumn session. the values and principles of democratic
This Draft Criminal Code has been society, and, most importantly, takes
developed in order to: (1) redress the crucial role in Mongolia’s development.
drawbacks of the current Criminal Code; Regarding punishment, it states that
(2) make the current Code consistent with punishment has to be clear, effective
international conventions that Mongolia is and offer wide discretion. Consequently,
party to; (3) bring the Code into substantial it is a novel step for Mongolia to make
compliance with international benchmarks; prevention the main purpose of the
(4) make it capable of responding to Criminal Code.
Mongolia’s crime conditions; and (5)
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Before Creating a Law
and generous policy, this punishment percent of the original punishment to
policy provides wide discretion to a convict who has confessed his guilt
judges, and provides a differentiated and and compensated for damages that he/
proportionate punishment policy which she has caused. This shall extend the
will replace the old punishment policy promotional rule within the Criminal Code,
that was mainly concerned with imposing and thus will be very helpful in decreasing
sentencing and punishments that require the burden on the criminal process.
personal engagement.
- Special punishment types and
The following steps have been taken institutions such as “community based
within this context: labour, home arrest, imprisonment in
- Capital punishment will be specialized young offender prisons which
abolished and instead indefinite have more educational and rehabilitation
imprisonment in an open and close jail programs” for 14-18 years old teenagers
will be available. This reform is directly will be created according to the Draft
connected to the fact that our country Code. These and other various changes
ratified the Second Optional Protocol to in principles to the Criminal Code have
the International Covenant on Civil and been included in the Draft Code.
Political Rights, which proposed abolition
of the death penalty. To summarize, it has not been the
intent to create a completely new Criminal
- Under home arrest a convict Code, criminal liability and punishment
will be detained at home and given an policy. Rather, a Draft Code has been
opportunity to rehabilitate while he/she not proposed that will solve practical problems
being entirely sequestered from society. and legal issues that have arisen from
the implementation of the Criminal Code
He/she as well has the responsibility not
of 2002. Further, we have proposed to
to do a criminal act and connect with create a Draft Code that will be consistent
criminal activities. In that way, a convict with relevant international conventions
is entrusted and has an opportunity to and international standards.
remain in society, within his/her family, Personally, I am fully confident
and in a community. that, if this Draft Code is adopted,
the development of criminal justice in
- A judge will have the competence Mongolia will see further progress.
to impose a penalty not exceeding 50
Thank you for your attention.
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LAW REVIEW 2015 ¹5(55)
10
50
Agree to some
extend
0
Do not agree
Before Creating a Law
50
Agree to some
extend
analyzed separately. Further, the relevant
0 punishment regime for harassment
Do not agree
100 Fully agree and collusive bribery within the Draft
Criminal Code is analyzed in comparison
50
Number of Agree to some
complaints and to international initiatives and foreign
information
0
extend
received by the Independent regulations. Such a comparison allows us
Authority against Corruption Do
of not agree
Mongolia to analyze and evaluate the advantages
and disadvantages of the proposed policy
Corruption perception index within the Draft Code. Finally, a short
200 conclusion and discussion of potential
100
future directions in punishment policy for
bribery is offered.
0
Corruption perception index
2009 2011 2013
200 1. PUNISHMENT POLICY FOR
BRIBERY IN MONGOLIA
100
Total investigated
400
criminal acts just since it punishes all relevant parties
200
Total people
for their criminal acts. On the other hand,
0 suspected it creates collusion and a disincentive to
First six…
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LAW REVIEW 2015 ¹5(55)
states that “…a person who voluntarily Overall, Mongolia has long been
reports to the competent authority about supporting a differentiated punishment
Intermediation in bribery shall be released policy for bribe-givers and takers.
from criminal liability”. 1.2 The Draft Criminal Code of
Historically, similar regulations that 2015
were directed to punish a bribe-taker and Recently, the Government of
not to punish a bribe, in order to increase Mongolia has prepared the Draft Criminal
the incentive to whistleblow have been Code and introduced it to the Parliament.
actively implemented in the country. For The final discussion of the Draft Code is
instance, the Prosecution and Punishment scheduled in the parliamentary Autumn
Script of 1929 reflected “…if a person did session. The Draft Criminal Code
the criminal act stated in the 161, 162 of punishes both bribe-takers and givers,
the Script but voluntarily denounces the whereas imposing criminal liability for an
act shortly to the Ministerial Office and intermediary has been abolished.
clears the condition of the criminal act,
helps to impose punishment to related Bribe-giving
people then he/she will be relieved from A bribe-giving act is more lightly
punishment”; the Criminal Code of 1942 punished than a bribe-taking acting in
stated “…if a briber or intermediary person general.
was constrained in some way by the Article 269 of the Article 22.5 of the Draft Criminal
person who took the bribe and if a briber Criminal Code of 2002 Code of 2015
Bribe giving
or intermediary person denounces the Giving of a bribe Promising, offering for the benefit
act shortly to the relevant authority then to an official in and interest of oneself or another
punishment will not be imposed to that person or through material, immaterial property,
an intermediary shall ownership of material and
person”; the Criminal Code of 1961 states be punishable by immaterial property, unpaid or free
“…if a briber was constrained in some way a fine equal to 51 service to the person who by law,
to 250 amounts of administrative rules and under
by the person who took the bribe and if a minimum salary or contract obliged to do public work
briber or intermediary person denounces imprisonment for a or public official in connection
term of up to 3 years. with his/her official duty and
the act shortly to the relevant authority competence, shall be deprived
then punishment will not be imposed to of the right to hold a position
that person”; the Criminal Codes of 1986 in public office up to 2 years,
shall be fined with the equal sum
and 1993 as well have reflected similar of tugriks with 400 calculation unit
provisions.4 to 14000 calculation unit, or shall
be in home arrest from 1 month
The current Code reflects a similar to 3 years, or shall be punished
provision which states “…a person who by imprisonment of 1 month to
3 years.
gave a bribe shall be relived from criminal Note: A person who was
liability if he/she after committing the constrained by the person who
crime has voluntarily informed the body took the bribe and has given
a bribe for obtaining what he/
that has the right to institute criminal she is legally entitled to shall
proceedings”. However, this provision be relived from criminal liability
and shall have the right to keep
was invalidated in 2008 without any the taken government service if
explanation of annulment.5 The relevant he/she voluntarily informed the
body that has the right to institute
study conducted in connection with this criminal proceedings
annulment concluded that the precise A bribe giver who gives a bribe
effectiveness of that provision in practice to a bribe taker in order to a
bribe taker to do illegal act for
could not be analyzed from the relevant the benefit of bribe giver shall not
data and information.6 be exempted from punishment.
A bribe giver shall have
mitigated criminal liability if he/
she voluntarily informed the
4
Batjav Lkhamjav, Bolormaa Erdene-Ochir, Bribery and body that has the right to institute
Comfit of Interests, Ulaanbaatar, 2012. criminal proceedings
5
Z.Altai, A Research concerning the Chapter 28 of the
Criminal Code, which concerns bribery, the Center for Poli-
cy Analysis, Research, and Public Relations of the Office of
the Parliament, 2009.
6
Id.
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Before Creating a Law
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Before Creating a Law
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the whistleblower. Also, giving the full in order to get prompt, qualified service
and correct information, assisting in without unnecessary bureaucracy. In that
investigation the process, etc. and some case, harassment bribe givers and takers
other procedural elements are missing. are considered equally criminal, thus,
All in all, it is probable that this provision collusion remains between them since
could not be effective in practice. both would be considered criminals, who
Consequently, some other variant might should be punished.
be more effective. For instance, absolving Comparative analysis of regulation
from imprisonment could serve as a form for harassment bribery
of mitigated liability. Or it could even Legalizing giving The Draft
directly absolve a bribe-giver from criminal harassment bribe Criminal Code of
liability in the case that a bribe-giver 2015
blows the whistle, or if a bribe-giver was Elements - legalization of -exemption from
giving harassment criminal liability
constrained by the person who took the bribe only in the case
bribe. In addition to that, implementation that a bribe-giver
of incentive mechanisms which enable a -full, correct is constrained
bribe giver to take back money and other and prompt by a bribe-taker
whistleblowing and only in the
items after the clearance of the criminal case of giving a
act could enable more effective detection -right to keep the harassment bribe
of collusive bribery. taken government
Overall, the following elements need service - whistleblowing,
to be reflected within the Draft Criminal denouncing
-returning the the act to the
Code: competent
money, valuables to
- a bribe-giver is constrained in any a bribe giver authority
way by the person who took the bribe or a
-right to keep a
bribe-giver denounces the act and reveals taken government
that bribe; service
- a bribe-giver has to assist in the Pros - directed to the -possible to
crime’s clearing and/or investigation; whole public implement this
- awareness- rule in Mongolia
- exemption of a bribe-giver from
raising in
criminal liability; respect of the -law enforcement
- imposition of a high fine upon a understanding organizations
that would not be
bribe-taker in order to compensate the overloaded
harassment
giver;
bribe taking
- reward or return mechanism -not particularly
is illegal and risky to
for a briber-giver. unjust implement
- Responds to
3.2 Comparative analysis of a collective
punishment policy for harassment action problem
- Preventative,
bribery self-controlling,
The main Article 22.5 of the Draft self-enforcing
Criminal Code declares that the act of
bribing is illegal in general notwithstanding
whether a person gives a harassment
or collusive bribe. Whereas the Note
to that provision absolved a bribe-giver
from criminal liability only in the case of
harassment bribery and only if a giver is
constrained by a bribe-taker in some way.
It should be noted here that, in
Mongolia many people give harassment
bribes to public officials even without
any constraint by the bribe takers, just
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Before Creating a Law
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LAW REVIEW 2015 ¹5(55)
B. Ensuring information blown the whistle and who have to get his/
transparency her service in the future. Therefore, the
It has been established that deprivation of the right to hold a public
information dissemination and transparent position for a certain number of years
implementation will induce and increase the should be imposed upon public officials.
public’s interest in more whistleblowing.22 This policy is also important to prevent
Therefore, it is important to inform the
public officials to take bribes since this
public on information concerning which
government organizations are more punishment type is directly related to
corrupt and how public officials have been their career and quality of life. However,
punished, how many people are rewarded in the case of the health service, different
or receive back what they have given in punishments might be imposed due to the
bribery. shortage of human resources in the field
in Mongolia.
C. Institutional setup
It is important to have a just E. Protection of whistleblowers,
institution for the implementation of this public officials
policy. In addition to that, special courts It is important to create a
could be created for deciding harassment whistleblower protection and reward
bribery related cases by considering the mechanism, which still has not been
possibility of overload. created in Mongolia.
A prompt, cheap, easy, An anonymous prosecution
confidential, friendly whistleblowing procedure for accused public officials
mechanism should be ensured.23 should be created, in order to protect fair
public officials from defamation.26
D. Punishing the bribed public
officials and law enforcement officers 5. CONCLUSION
harshly The current policy against bribery
Effectively detecting and imposing reflected in the Criminal Code of 2002
severe punishments upon bribe-takers is punitive and top-down, which requires
would threaten them and therefore reduce significant financing and human resources,
the demand for bribery.24 Following this, and does not have a preventative aim.
the fine amount for harassment bribery Moreover, this anticorruption policy
seems to fit a more mature, developed
needs to be increased in order to make
environment, where corruption occurs on
bribe-takers afraid of taking bribes and a limited scale. In other words, this limited
to give back money or items to the bribe- anticorruption policy is not effective in a
givers.25 highly corrupt environment where various
Also, if a public official is to remain types of corruption exist at all levels of
in his/her position after being punished for government organizations.
taking a bribe, then, it is possible that they The Draft Criminal Code of 2015,
might take revenge from people who have which has been submitted to the
22
Jakob Svensson, Who Must Pay Bribes and How Much? Parliament of Mongolia, attempts to
Evidence from a Cross Section of Firms, the Quarterly Jour- create a more comprehensive punishment
nal of Economics, Oxford University Press, 2003. policy for bribery that better fits the
Alvaro Cuervo-Cazurra, The Effectiveness of Laws against
Bribery Abroad, Journal of International Business Studies, Mongolia’s conditions. Namely, it creates
2008. a differentiated punishment policy for
23
Christoph Engel, Sebastian J. Goerg, Gaoneng Yu, Sym- bribe-takers and givers. More precisely,
metric vs. Asymmetric Punishment Regimes for Bribery Max bribe-givers may have mitigated criminal
Planck Institute for Research on Collective Goods, 2012.
24
Karna Basu, Kaushik Basu, Tito Cordella, Asymmetric 26
Klaus Abbink, Utteeyo Dasgupta, Lata Gangadharan,
Punishment as an Instrument of Corruption Control, Policy Tarun Jain, Letting the Briber go Free: An Experiment on
Reasearch Working Paper, The World Bank, 2014. Mitigating Harassment Bribes, Journal of Public Economics,
25 Id. 2013.
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Before Creating a Law
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Legal Thoughts: Reflection
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24
Legal Thoughts: Reflection
has been reluctant to cite or apply foreign legal transplantations and resolutions
authority in their decisions.23 of conflict are done in a manner of trans
Some countries, such as South judicial uniformity that matches the
Africa or Argentina, have constitutional overarching transnational uniformity
provisions that explicitly direct judicial or developing as a result of state and private
legislative authorities to consider foreign authority in international practice.26This
or international law in the execution can be done through citation of foreign
of their duties. Mongolia’s constitution decisions, networking with other foreign
does not explicitly direct this, but this constitutional decision-makers, and
does not mean the process cannot be overall promoting a degree of judicial
institutionalized as a norm in the process comity that recognizes and respects the
of Tsets decisions. decisions of foreign jurisdictions. The
This lack of international judicial field of comparative judicial dialogue is
consideration is not unique to Mongolia. as much a practice in diplomacy as it is
Many European and Asian countries, scholarship.27
including Japan, South Korea, and
Taiwan, also rarely cite foreign authority. Amplifying Comparative Theory in the
The United States is notorious for refusing Constitutional Tsets
to engage in international judicial dialogue
in resolving constitutional questions Identifying and increasing awareness
unless the issue is particularly divisive.24 of the factors that lead to judicial bias is
However, this bias against using foreign especially important in a constitutional
and international authority is more court system that is still developing
ideological than anything else. Empirical habits for interpretation of the rule of law.
evidence shows that courts have a The lack of precedent by subsequent
tendency to align with certain legal families constitutional decisions means there is
and cultural traditions because of a desire no real functional barrier to citing judicial
to use foreign authority in support of their authority, but this shift in ideological
views and interests.25Doing comparative procedure must be supported by a strong
constitutional analysis under the pretense foundation capable of analyzing such a
of developing a critical understanding of complex network. This includes increased
universal legal trends and norms requires access to knowledge and decisions
shaking this bias by actively seeking to of international and foreign authority
engage foreign authority for the purpose of facilitated through increased research,
fostering a more universal understanding clerks with specialized experience, and
that is necessarily anti-ideological. This legal education that creates an appetite
is the application of the “global sense” for critical comparisons of law.28
mentioned earlier in this note. A sense The incorporation of comparative law
that, when applied, serves to reify and into the Tsets system can be accomplished
strengthen the domestic interpolation in a number of ways that are especially
of the rule of law as what is recognized conducive to facilitating a comprehensive
as true within the global transnational sense of transnational and transjudicial
landscape. understanding in universal trends. A
It is thus important for global courts
to act as a community in ensuring that 26
See, e.g. Slaughter, supra fn. 19.
27
And indeed, those serving on the Tsets have engaged in
many international meetings with justices from other Con-
23
Munkhsaikha, Odonkhuu. Towards Better Protection of stitutional courts ranging from South Korea to Poland, in
Fundamental Rights in Mongolia: Constitutional Review and addition to hosting multiple Seminars of Asian Constitutional
Interpretation.Nagoya University CALE Books 4, Published Justices.
March, 2014. pg. 215 28
These are true of all legal systems, Seee.g., Lawd, David
24
See, e.g. Farber, Daniel A. The Supreme Court, the Law S. Judicial Comparativism and Judicial Diplomacy. 163 Uni-
of Nations, and Citations of Foreign Law: The Lessons of versity of Pennsylvania Law Review 927. March, 2015; See
History (December 15, 2006). UC Berkeley Public Law Re- also, Amarsaana, supra fn. 17 at 41 (calling for increased
search Paper No. 954359 education about common law systems for the purposes of
25
Voeten, Erik. Borrowing and NonborrowingAmong Inter- developing more scientific approaches toward comparative
national Courts, 39 J. Legal Stud. 547, 567, 572 (2010) law).
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26
Legal Thoughts: Reflection
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LAW REVIEW 2015 ¹5(55)
decisions by the Constitutional Tsets. The will lead to more cooperation among
relationship is not linear, but is instead the private and public actors alike, leading to
result of elaborate and complex networks further convergence in the global norms
whose effect on the rule of law through the regulating social and economic life.
Constitution is mediated by transjudicial Hence it is important for scholars, judges,
dialogue, comparative scholarship and legislators, and citizens alike to have a
civic involvement. “global sense” in terms of developing
This article has contended that global channels by which it is possible to be aware
trends in international legal development of, as well as incorporate the universal
requires an evolving approach to trends that develop in transnational and
comparative constitutional practice foreign networks. Understanding how
that goes beyond seeing law as the these relationships reify is crucial to ensure
manifestation of political arrangements. application of constitutional principles
Over time, increased capacities in travel, is fluidly and effectively managed as
communication, and access to information Mongolia continues to prosper in the
global sphere.
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Legal Thoughts: Reflection
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LAW REVIEW 2015 ¹5(55)
des Parlaments dürfte einer öffentlichen dies zur Abschaffung der Todesstrafe 6.
Meinung geschuldet sein, die nach wie In den meisten europäischen Ländern
vor die Todesstrafe als Antwort jedenfalls wird die Abschaffung der Todesstrafe
auf schwere Tötungsdelikte unterstützt. zwar nicht vollzogen. Es zeigen sich aber
ebenfalls bedeutsame Reformen. Denn
Insoweit verweist die Situation in der Anwendungsbereich der Todesstrafe
der Mongolei auf politische Prozesse, beginnt sich auf das Delikt des Mordes
die in Europa weitgehend abgeschlossen einzuengen.
sind. Die folgenden Ausführungen
sollen dazu dienen, verschiedene Wege Unmittelbar nach dem Zweiten
hin zur Abschaffung der Todesstrafe Weltkrieg schafften einige europäische
nachzuzeichnen, die dabei auftretenden Länder die Todesstrafe im Prozess
Probleme zu benennen und kontroverse des Wiederaufbaus demokratischer
Diskurse vorzustellen. Strukturen ab, andere führten ein
Moratorium ein, das jedenfalls zu einem
Der Prozess der Abschaffung der Ende der Exekutionen führte.
Todesstrafe beginnt in Europa mit der
Aufklärung. Insbesondere Beccaria Zwischen 1960 und 1980 nahmen alle
benannte in seinem grundlegenden Werk Länder Westeuropas die Todesstrafe (für
„Über Verbrechen und Strafe“ (1764) Friedenszeiten) aus dem Strafgesetzbuch.
allgemeine Gesichtspunkte, die gegen
die Todesstrafe sprechen. Die Kritik der Unmittelbar nach dem politischen
Todesstrafe fällt teilweise mit der Kritik und sozialen Umbruch in Zentral- und
der Folter zusammen, sie greift damit Osteuropa wurde die Todesstrafe in
eine Debatte über grausame Strafen auf, fast allen ost- und zentraleuropäischen
die noch heute in den Staaten der USA, Staaten abgeschafft 7. Dabei dürften die
in denen die Todesstrafe vollstreckt wird, Aufnahme in die Europäische Union
geführt wird. Das zentrale Argument sowie die in den Europarat wesentliche
Beccarias bezog sich allerdings auf die Anreize gesetzt haben.
Notwendigkeit von Kriminalstrafen.
Seine Meinung, dass nur eine rationale Während in Russland die
Kriminalstrafe legitimierbar sei, und dass Todesstrafe immer noch auf dem Papier
jede über das unbedingt Erforderliche und im Strafgesetzbuch vorhanden
hinausgehende Strafe als exzessiv und ist, wurde ein seit 1997 geltendes
deshalb als Tyrannei betrachtet werden Moratorium erst kürzlich durch das
müsse, beruht auf einem Verständnis russische Verfassungsgericht verlängert.8.
von Strafe, die ihre Begründung im Das Verfassungsgericht hat anlässlich
Rechtsgüterschutz findet. dieser Entscheidung erklärt, dass das
Moratorium erst zu dem Zeitpunkt
Der Prozess der Abschaffung der auslaufe, an dem die Todesstrafe in
Todesstrafe in Europa kann grob in vier 6
Vgl. Suter, S.: Guillotine oder Zuchthaus? Die Abschaf-
Phasen unterteilt werden. fung der Todesstrafe in der Schweiz. Basel 1997; Boulanger,
C., Heyes, V., Hanfling, P. (Hrsg.): Zur Aktualität der
Todesstrafe. Interdisziplinäre und globale Perspektiven. 2.
Die Aufklärung brachte neben der Auflage, Berlin 2002; Hood, R.: Introduction – The impor-
tance of abolishing the death penalty. In: Council of Europe
Erklärung der Menschenrechte auch (Hrsg.): The Death Penalty – Beyond Abolition. Straßburg
einen neuen Blick auf die Kriminalstrafe. 2004, S. 13-23.
In einigen europäischen Staaten führte 7
Vgl. den Überblick in OSCE’s Office for Democratic Insti-
tutions and Human Rights: The Death Penalty in the OSCE
Area. Background Paper. Warschau 2009.
8
www.ksrf.ru/News/Pages/ViewItem.aspx?Para-
mId=734.
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15
. Die Charta der Grundrechte der die in präventiver Hinsicht mindestens
Europäischen Union enthält in Art. 2 ebenso effizient sind.
das Recht auf Leben sowie den Satz,
dass niemand zum Tode verurteilt und Das starke europäische Engagement
hingerichtet werden darf. Die Europäische gegen die Todesstrafe wird auch in den
Union verfolgt eine Politik der globalen Bedingungen sichtbar, die für den Beitritt
und vollständigen Abschaffung der zum Europarat gelten. Die Mitgliedschaft
Todesstrafe. Über den Raum der setzt nicht nur ein vollständiges Mora-
Europäischen Union hinaus zielt die torium für Exekutionen, sondern eine
Europäische Union in den Ländern, förmliche Abschaffung der Todesstrafe
in denen die Todesstrafe beibehalten im Gesetz voraus. Jedoch erklärt sich die
wird, auf eine Beschränkung des Ablehnung der Todesstrafe als legitime
Anwendungsbereichs der Todesstrafe, auf Kriminalsanktion auch aus der Überzeu-
die strikte Einhaltung der in verschiedenen gung, dass staatlichen Befugnissen gegen-
internationalen Instrumenten für den über Staatsbürgern jedenfalls eine absolu-
Fall der Anwendung der Todesstrafe te Grenze bei dem Zugriff auf das Leben
genannten Bedingungen sowie auf die in Form der Todesstrafe gesetzt werden
Einführung von Moratorien, die auf die muss.
vollständige Abschaffung der Todesstrafe
vorbereiten. Die Europäische Union Im Jahr 1998 hat die Europäische
betont die Ablehnung der Todesstrafe Union Leitlinien zur Todesstrafe
insbesondere für Personen, die bei eingeführt 16, mit denen die Politik der
Begehung der Tat das 18. Lebensjahr noch globalen Abschaffung der Todesstrafe
nicht erreicht hatten. umgesetzt werden soll. Darin betont die
Europäische Union die Bedeutung der
Der Standpunkt der Europäi- strikten Einhaltung der sich aus dem
schen Union wird dann in einer Politik Internationalen Pakt über Bürgerliche
sichtbar, die für ganz Europa nicht nur und Politische Rechte ergebenden
die vollständige Abschaffung in Frie- Verpflichtungen 17 sowie des durch den
dens- und Kriegszeiten vorsieht, sondern Wirtschafts- und Sozialrat der Vereinten
auch die Implementierung von rechtli- Nationen angenommenen Katalogs von
chen Standards, die eine Wiedereinfüh- Mindeststandards im Verfahren gegen
rung der Todesstrafe ausschließen. Dieser Angeklagte, für die die Verhängung
Standpunkt findet in zwei Grundüberze- der Todesstrafe in Betracht kommt 18.
ugungen ihre wesentliche Grundlage: Die Europäische Union stellt dann die
Abschaffung der Todesstrafe in einen
1. Die Todesstrafe ist aus menschen- Zusammenhang einer progressiven
rechtlichen Gründen abzulehnen, wobei Entwicklung der Menschenrechte,
auf das Verbot grausamer, unmenschli- insbesondere der Menschenwürde
cher und degradierender Strafe, das Recht insgesamt und hat erklärt, dass die
auf Leben sowie die Menschenwürde ab-
gehoben wird. 16
Rat der Europäischen Union, Brüssel, 3. Juni, 1998,
EU-Richtlinien zur Todesstrafe, zuletzt neu aufgelegt am
16. Juni 2008.
2. Die Todesstrafe ist nicht notwen- 17
Vgl. auch das 2. Optionale Protokoll zum Internationalen
dig, weil Strafen zur Verfügung stehen, Pakt über Bürgerliche und Politische Recht, das die Ab-
scahffung der Todesstrafe in Friedenszeiten vorsieht (UN
15
Rat Allgemeine Angelegenheiten: EU Leitlinien zur To- General Assembly Resolution 44/128, 15. Dezember 1989;
desstrafe. Brüssel, 16. Juni 2008; vgl. zuletzt Entschließung in Kraft getreten am 11. Juli 1991).
des Europäischen Parlaments vom 16. Dezember 2010 zu 18
UN Safeguards Guaranteeing Protection of the Rights of
dem Jahresbericht über die Menschenrechte in der Welt Those Facing the Death Penalty, approved by the Economic
2009 und die Politik der Europäischen Union in diesem Be- and Social Council through resolution 1984/50 of 25 May
reich (2010/2202(INI). 1984.
32
Legal Thoughts: Reflection
Zielsetzung der Politik zur Todesstrafe heranzuziehen 21. Die Abschaffung der
gerichtet sei auf: Todesstrafe wird offensichtlich als ein
herausragendes Symbol sowohl für ein
• die globale Abschaffung der neues Europa als auch für eine besondere
Todesstrafe europäische Identität verstanden.22.
• und dort, wo die Todesstrafe Andere Identitätsangebote stehen kaum
noch angewendet werde, auf zur Verfügung. Das Christentum ist
die kontinuierliche Reduzierung historisch mit der lang andauernden
der Anwendung sowie die Gewalt der Religionskriege belastet;
Implementierung von – vor die Auseinandersetzungen über die
allem verfahrensrechtlichen - letztlich abgelehnte Aufnahme eines
Mindeststandards. Bekenntnisses zum Christentum in
die europäische Grundrechtecharta
Diese Zielsetzungen sind Teil der und die europäische Verfassung
Menschenrechts- und Außenpolitik haben, ebenso wie die gegenwärtigen
der Europäischen Union geworden. Debatten über den Islam in Europa
Sie sollen durch Demarchen zur erneut demonstriert, wie konfliktreich
Einflussnahme in Einzelfällen der eine Bezugnahme auf Religion werden
Vollstreckung von Todesstrafen sowie kann 23. Die Industrialisierung birgt, so
auf die allgemeine Abschaffung der wie Bezugnahmen auf wirtschaftliche
Todesstrafe außenpolitisch umgesetzt Entwicklung, insbesondere die
werden. Dies führt freilich in den wirtschaftliche Einheit Europas
internationalen Beziehungen auch dazu, allgemein, eher Konfliktpotenzial (wie
dass die Todesstrafe und Moratorien zu die Schuldenkrise der europäischen
Druckmitteln (für beide Seiten) werden Staaten deutlich zeigt) und ferner auch
können 19. Nicht zuletzt zeigt sich dies, gemessen an europaweiten Befragungen
wenn es – wie im Fall Weißrusslands um wenig Stoff für die Entstehung einer
finanzielle Hilfen durch die Europäische europäischen Identität. Wurzeln in der
Union geht (die in diesem Fall zwischen 21
Vgl. hierzu bereits Sedelmeier, U.: EU Enlargement, Iden-
1991 und 2005 immerhin 221 Millionen € tity and the Analysis of European Foreign Policy: Identity
Formation Through Policy Practice. European University
betragen haben) 20. Institute, Florenz, Robert Schuman Centre for Advanced
Studies RSC No. 2003/13, S. 5f, der in das Zentrum Men-
Als Erklärung der starken schenrechte allgemein sowie demokratische Prinzipien
stellt.
Betonung der globalen Abschaffung der 22
Heinen, A.: Das „neue Europa“ und das „alte Amerika“.
Todesstrafe in Europa (und durch die Die Geschichte der Todesstrafe in Deutschland, Frankreich
Europäische Union) und ihre prominente und den USA und die Erfindung der zivilisatorischen
Tradition Europas. In: Metzger, C., Kaelble, H. (Hrsg.):
Platzierung in Menschenrechtsdialogen Deutschland - Frankreich - Nordamerika: Transfers, Imag-
sowie in den außenpolitischen inationen, Beziehungen. Stuttgart: Franz Steiner Verlag
2006, S. 209-227, S. 225; Devienne, E.: Comparing Exception-
Beziehungen wird teilweise der alism in France and the USA. A Transatlantic Approach to
Versuch genannt, Menschenrechte the Death Penalty Abolition Debate (1972-1977). European
journal of American studies [Online] , 1 | 2010 , document 1,
und in diesem Zusammenhang die Online since 29 January 2010, connection on 19 April 2011.
Abschaffung der Todesstrafe für den URL : http://ejas.revues.org/7745
Aufbau einer europäischen Identität 23
European Charter of Fundamental Rights Is Approved
for Presentation to E.U. Heads of State., 1 German Law
Journal (2000), available at http://www.germanlawjour-
nal.com/index.php?pageID=11&artID=4; Heyward, M.:
What Constitutes Europe?: Religion, Law and Identity in
the Draft Constitution for the European Union. Hanse Law
Review 1(2005), S. 227-235; im Übrigen zeigen Befragungen
19
Dura, G.: The EU’s Limited Response to Belarus’ Pseudo in den Ländern der Europäischen Union, dass der Religion
‘New Foreign Policy’. CEPS Policy Brief, February 2008, S. 9. in den Europa repräsentierenden Werten nur eine ganz
20
Dura, G.: The EU’s Limited Response to Belarus’ Pseudo untergeordnete Rolle eingeräumt wird, Eurobarometer 69,
‘New Foreign Policy’. CEPS Policy Brief, Februar 2008, S. 2. Values of the Europeans. Brüssel 2008, S. 22.
33
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34
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seien 28. Der Fall Soering führte den Euro- auf Leben verstößt oder eine grausame
päischen Gerichtshof für Menschenrechte oder unmenschliche Strafe darstellt,
zu der Feststellung, dass das “Todeszel- ebenfalls nicht eingegangen. Vielmehr
lensyndrom“ (ausgedehntes Warten auf sagte der Europäische Gerichtshof für
das Sterben unter den Bedingungen von Menschenrechte, dass diese Fragen
Todeszellentrakten) eine grausame Be- nicht behandelt werden müssten (schon
handlung sei und deshalb gegen Art. 3 deshalb, weil die Türkei mittlerweile die
der Europäischen Menschenrechtskon- Todesstrafe abgeschafft hatte). Das Gericht
vention verstoße 29. Bezug genommen erklärte freilich, dass die Staatenpraxis in
wurde dabei vor allem auch auf eine lang Europa durchaus so interpretiert werden
durchschnittliche Dauer des Verbleibs in könne, dass die in Art. 2 der Europäischen
der Todeszelle in den USA. Die Zeit zwi- Menschenrechtskonvention enthaltene
schen Verurteilung und Exekution belief Beschränkung des Rechts auf Leben
sich in den USA für die im Jahr 2007 Hin- durch die Todesstrafe aufgegeben
gerichteten auf 153 Monate 30. Dies ent- worden sei. Angesichts der Umwandlung
spricht einer herkömmlichen Auslegung der Todesstrafe gegen Öcalan in eine
des Begriffs der Grausamkeit, die insbe- lebenslange Freiheitsstrafe und angesichts
sondere auf ein hinausgezögertes Sterben der mittlerweile erfolgten Abschaffung
und die Zufügung erheblicher physischer der Todesstrafe in der Türkei jedenfalls
oder psychischer Qualen abhebt. Da ein in Friedenszeiten beschränkte sich das
stark abgekürztes Verfahren der Voll- Gericht auf die Überprüfung einer
streckung von Todesstrafen wegen der Verletzung von Art. 3 (unmenschliche
rechtsstaatlich bedingten Notwendigkeit Behandlung) wegen der Verurteilung
von Rechtsmitteln und Gnadenverfah- zum Tode nach einem unfairen
ren nicht möglich ist, ist damit praktisch Strafverfahren. Eine solche Verletzung
ein Verfahrensablauf vollständig ausge- wurde angenommen, da sich Öcalan
schlossen, der zu einem nur kurzen Auf- nach einem unfairen Strafverfahren etwa
enthalt in Todeszellentrakten und damit 3 Jahre der Drohung mit der Exekution
zu einem aus dieser Perspektive nicht ausgesetzt sah.
grausamen Vollzug der Todesstrafe führt
31
. 4. Diskurse zur Todesstrafe
Menschenwürde und dem Recht auf dass ein Staat nach Abschaffung der
Leben hergestellt; gleichzeitig wird, Todesstrafe an ein vorbehaltloses Recht
vergleichbar dem 2. Zusatzprotokoll zum auf Leben gebunden sei und sich nicht
Internationalen Pakt über Bürgerliche mehr auf die Beschränkung des Art.
und Politische Rechte, betont, dass die 6 Absatz 2 des Internationalen Paktes
Abschaffung der Todesstrafe diese über Bürgerliche und Politische Rechte
zentralen Menschenrechte stärke. berufen könne 37. Jedoch gibt es nach wie
Allerdings geben die Zusatzprotokolle 6 vor Stimmen, die sich dafür aussprechen,
und 13 keinen expliziten Hinweis darauf, dass weder das Recht auf Leben noch
dass die Todesstrafe die Menschenwürde die Menschenwürde einen vollständigen
oder das Recht auf Leben verletzt. Verzicht auf die Todesstrafe forderten
Die Protokolle lassen demgegenüber 38
. Denn, so wird aus dieser Perspektive
erkennen, dass mit der Abschaffung argumentiert, die Interpretation von
der Todesstrafe und dem Verbot ihrer Menschenwürde und menschenwürdigen
Wiedereinführung das Recht auf Leben Strafen sei abhängig von sozialen und
bestärkt werden sollte. Bislang hat lediglich kulturellen Dynamiken und deshalb
das ungarische Verfassungsgericht im abhängig von einem Wandel, der es zu
Jahr 1990 entschieden, die Todesstrafe bestimmten Zeitpunkten durchaus als
verletze das Recht auf Leben und die gerechtfertigt ansehen lassen könnte, die
Menschenwürde, weil die Todesstrafe in Todesstrafe wieder einzuführen. Dies
die Substanz dieser Grundrechte eingreife entspricht wiederum der Rechtsprechung
33
. Der deutsche Bundesgerichtshof hat des Bundesverfassungsgerichts zur
in einer Entscheidung aus dem Jahr Menschenwürde, in der diese als
1995 ausgeführt, dass die Gesellschaft historisch kontingent und keiner
dem hohen Wert des Rechts auf Leben absoluten oder eindeutigen Auslegung
durch den Verzicht auf die Todesstrafe zugänglich behandelt wird 39.
Anerkennung verschaffen müsse 34. Verfassungsgerichte in anderen
Das Bundesverfassungsgerichts hat Weltregionen haben sich, mit der
in der Entscheidung zur lebenslangen Ausnahme des Verfassungsgerichts
Freiheitsstrafe aus dem Jahr Südafrikas 40 im Prinzip zustimmend zur
ausgeführt, dass die staatliche Strafe Todesstrafe geäußert 41. Dies gilt für Asien
die grundlegenden Voraussetzungen wie für die USA. Ein besonderer Diskurs
individueller und sozialer Existenz eines zur Grausamkeit hat sich in den USA im
Menschen unangetastet lassen müsse 35 Hinblick auf die Todesstrafe entwickelt.
und damit jedenfalls aus der deutschen Am 13. Oktober 2006 wurde der wegen
Verfassung wohl (auch) ein absolutes Mordes zum Tode verurteilte Angel Diaz
Verbot der Todesstrafe gefolgert. Die 37
Human Rights Committee: Judge v. Canada. Communi-
OSCE bezeichnete in einer Resolution cation No. 829/1998, vom 5. August 2002.
aus dem Jahr 2009, in dem Weissrussland 38
Maunz/Dürig: Grundgesetz Kommentar, Rdnr. 31, Art.
102
. München 2009.
zu einem Moratorium aufgefordert 39
BVerfGE 45, S. 187ff.
wurde, die Todesstrafe als unmenschlich 40 Constitutional Court of the Republic of South Africa:
und als Akt der Folter 36. Das State v. Makwanyane and Mchunu, Entscheidung vom 8.
Menschenrechtskomitee hat zudem in der Juni 1995.
41
Vgl. zu Indien Amnesty International India and Peo-
Entscheidung Judge v. Kanada festgestellt, ple’s Union for Civil Liberties (Tamil Nadu & Puducherry)
33
Magyar Közlömy 1990 Nr. l07, S. 2175. May 2008 Lethal Lottery: The Death Penalty in India.
34
BGHSt 41, S. 317ff. A study of Supreme Court judgments in death penalty
cases 1950-2006; www.amnesty.org/en/library/asset/
35
BVerfGE 45, S. 187ff. ASA20/007/2008/en/f8d94e73-16dc-11dd-89e2-354ccbab-
36
OSCE Parliamentary Assembly: Resolution on a Mor- fbe7/asa200072008eng.html; am 25. Februar 2010 hat das
atorium on the Death Penalty and Towards its Abolition. (süd) koreanische Verfassungsgericht entschieden, dass die
Adopted at the Eightennth OSCE PA Annual Session in Vil- Todesstrafe mit dem in der Verfassung enthaltenen Recht
nius, 29. Juni – 3. Juli 2009. auf Leben vereinbar sei.
36
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38
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Der Diskurs zur Frage, inwieweit Europa, dass die Todesstrafe nicht
der Vollzug der Todesstrafe grausam unter der Fragestellung der Verletzung
ist, verweist somit in den USA auf die des Rechts auf Leben (Art. 2 EMRK)
Methode der Exekution und ob sich oder der Menschenwürde erörtert
in bestimmten Exekutionsprotokollen wird. Vielmehr ist es die Grausamkeit,
ein bewusst hingenommenes und die in der Vollstreckung liegt, die die
vermeidbares Risiko von (ausgedehnten) menschenrechtlichen Diskurse zur
Schmerzen und (wahrgenommenem) Todesstrafe bislang beherrscht 58
verzögertem Sterben realisiert.
Vergleichbare Entwicklungen sind auch Die Todesstrafe wird dann
in der Rechtsprechung des Europäischen als unverhältnismäßiger staatlicher
Gerichtshofs für Menschenrechte Eingriff in Grundrechte diskutiert.
festzustellen. Für die Annahme von Das Verhältnismäßigkeitsprinzip setzt
Grausamkeit wird manchmal ein staatliche Eingriffe einem dreistufigen Test
subjektives Element von Absicht (der aus, der Geeignetheit, Erforderlichkeit
Zufügung von Schmerzen oder Leid) und Verhältnismäßigkeit im Engeren
verlangt 55. Allerdings hat der Europäische zu Prüfmaßstäben macht. Thematisiert
Gerichtshof für Menschenrechte im Fall werden in diesem Zusammenhang die
Soering auf eine objektive Analyse der mit staatlicher Strafe verfolgten Ziele, die
Bedingungen des Lebens in der Todeszelle in dem Schutz zentraler Rechtsgüter bzw.
abgestellt 56. Dabei maß der Gerichtshof Interessen bestehen. Eine grundsätzliche
dem Argument, die Verzögerungen Geeignetheit der Todesstrafe zum
würden ja durch den Verurteilten selbst Lebensschutz kann sicher nicht bezweifelt
bewirkt, keine Bedeutung zu. Denn werden. Die Erforderlichkeit dagegen ist
angesichts des drohenden Todes wird offensichtlich nicht gegeben, denn die
ein Mensch eben alles nutzen, was lebenslange Freiheitsstrafe führt nach allen
zur Verzögerung des Todeseintritts vorliegenden Erkenntnissen ebenfalls zur
geeignet ist. Das lange Warten auf die Prävention zukünftiger Angriffe auf das
Exekution ist auch im Zusammenhang Leben durch die verurteilte Person.
mit den Beschwerdemechanismen
des Internationalen Pakts über 1.2 Strafzumessung, Ermessen und
Bürgerliche und Politische Rechte, absolute Strafandrohung
denjenigen der Amerikanischen
Menschenrechtskonvention sowie in Ein zweiter Diskurs bezieht sich
Entscheidungen des „Privy Council“ auf die Zumessung der Strafe und die
(Judicial Committee, Oberstes Gericht Frage, für welche Taten und Täter die
für eine Reihe Common Wealth Staaten, Todesstrafe als schuldangemessene Strafe
insbesondere in der Karibik) thematisiert in Betracht gezogen werden darf. Der Tod
worden 57. stellt eine absolute und unwiderrufliche
Strafe dar. Von daher sieht sich die
Gemeinsam ist den rechtlichen Todesstrafe dem Problem ausgesetzt,
Debatten in Nordamerika und in welche Straftaten für eine solche absolute
55
Schabas, W.A.: The Death Penalty as cruel Punishment Strafe vorgesehen werden dürfen. Das
and Torture. Capital Punishment Challenged in the World´s Problem besteht insoweit darin, solche
Courts. Cambridge 1996.
Taten zu identifizieren, die einen Grad
56
Soering v. The United Kingdom ,Application No.
14038/88; vgl. hierzu auch Hudson, P.: Does the Death Row von Schwere aufweisen, die alle anderen
Phenomenon Violate a Prisoner´s Human Rights under Gesichtspunkte in der Bestimmung der
International Law? European Journal of International Law
11(2000), S. 833-856.
Schuld des Täters in den Hintergrund
57
Hierzu Hood, R., Hoyle, C.: The Death Penalty. Oxford 58
Nowak, U.N. Covenant on Civil and Political Rights. 2.
2008. Aufl., Kehl 2005, S. 142.
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42
Legal Thoughts: Reflection
Exekutionen sowie extreme Verteilungen, in den letzten Jahren entwickelt haben 93.
die dadurch bedingt sind, dass sich Abschreckung und die damit verbundene
Exekutionen nach der Wiederaufnahme Verhinderung von Tötungsdelikten
von Hinrichtungen im Jahr 1977 auf werden gegen die Tötung eines
Texas und wenige andere Bundesstaaten schuldigen Straftäters zur Abwägung
konzentrieren 90. Ferner werden solche gebracht 94, so wie die durch Tortur eines
Bedingungen nicht einbezogen, die die Tatverdächtigen abgepresste Information
Entwicklung der Tötungsdelikte erklären gegen das Leben eines Entführungsopfers
könnten und vor allem mangelt es an oder die Bedrohung Tausender durch
der Erfassung der möglicherweise auf Massenvernichtungswaffen abgewogen
die lebenslange Freiheitsstrafe ohne wird. Ein utilitaristisches Argument
Entlassungsmöglichkeit zurückgehenden schlüpft in einen moralischen Mantel
Effekte 91. und diese Moral erhebt die Tötung eines
Menschen dann zur staatlichen Pflicht,
Jedoch haben sich die aus wenn das Unterlassen dieser Tötung
ökonomischen Untersuchungen der oben den Tod von unschuldigen Personen
dargestellten Art abgeleiteten Ergebnisse bedeuten würde. Entwaffnend ist freilich
in Form eines Verhältnisses von nicht die simple Abwägung von Tortur
Exekutionen zu geretteten Menschenleben gegen Leben oder eines einzelnen Lebens
vor allem in Medien, Politik und gegen das Leben Vieler (Unschuldiger).
Öffentlichkeit als wirksam erwiesen. Sie Entwaffnend ist vor allem der Umgang
waren Gegenstand parlamentarischer mit der dahinter stehenden Empirie,
Anhörungen im Zusammenhang mit den Daten und den Unsicherheiten, die
Überlegungen, die Todesstrafe wieder damit verbunden sind. Immerhin geht
einzuführen 92. Die hieraus resultierenden es um Aussagen auf der Grundlage
Debatten ähneln den Diskursen, die sich der statistischen Instrumente und
um die so genannte „Rettungsfolter“ der Modelle einer Disziplin, die nicht
und den Abschuss von Flugzeugen, der dazu in der Lage ist, den Kurs des US-
ihren Einsatz als Bombe verhindern soll, Dollars genau vorherzusagen; für den
Fall einer Exekution aber in der Lage
sein will, zu prognostizieren, dass
eine einzige Exekution wahlweise 5, 7
90
Donohue, J.J., Wolfers, J.: The Death Penalty: No Evidence oder 18 Morde innerhalb eines Jahres
for Deterrence. The Berkeley Electronic Press, April 2006, S.
1-6. verhindern kann. Nun kann man
91
Fagan, J.: Death and Deterrence Redux: Science, Law and auf der Grundlage derselben Daten
Causal Reasoning on Capital Punishment. Ohio State Jour- natürlich auch vorhersagen, dass durch
nal of Criminal Law 4(2006), S. 255-320, S. 269ff.
92
Fagan, J.: Deterrence and the Death Penalty: A Critical
die Nichtexekution von Verurteilten in
Review of New Evidence. Testimony to the New York solchen Staaten, in denen die Todesstrafe
State Assembly Standing Committee on Codes, Assembly
Standing Committee on Judiciary and Assembly Standing
Committee on Correction. Hearings on the Future of Cap-
93
Bowden, M.: The Dark Art of Interrogation. The Atlan-
ital Punishment in the State of New York, 21. Januar 2005; tic Monthly, Oktober 2003; Brugger, W.: Darf der Staat
Fagan, J.: Public Policy Choices on Deterrence and the Death ausnahmsweise foltern? Der Staat 35(1996), S. 67-97; Jahn,
Penalty: A Critical Review of New Evidence. Testimony be- M.: Gute Folter – Schlechte Folter? Straf-, verfassungs- und
fore the Joint Committee on the Judiciary of the Massachu- völkerrechtliche Anmerkungen zum Begriff „Folter“ im
setts Legislature on House Bill 3834, “An Act Reinstating Spannungsfeld von Prävention und Repression. Kritische
Capital Punishment in the Commonwealth”, 14. Juli, 2005; Vierteljahresschrift für Gesetzgebung und Rechtswissen-
Rubin, P.H.: Statistical Evidence on Capital Punishment and schaft 87(2004), S. 24-49; Kreuzer, A.: Zur Not ein biss-
the Deterrence of Homicide. Written Testimony for the Sen- chen Folter? Diskussion um Ausnahmen vom absoluten
ate Judiciary Committee on the Constitution, Civil Rights, Folterverbot anlässlich polizeilicher „Rettungsfolter“. In:
and Property Rights Atlanta, 1. Februar, 2006; Muhlhausen, Nitschke, P. (Hrsg.): Rettungsfolter im modernen Rechtssta-
D.: The Death Penalty Deters Crime and Saves Lives. Testi- at? Eine Verortung. Bochum 2005, S. 35-49.
mony delivered on June 27, 2007, before the Subcommittee 94
Sunstein, C.R., Vermeule, A.: Is Capital Punishment Mor-
on the Constitution, Civil Rights, and Property Rights of the ally Required? Acts, Omissions, and Life-Life Tradeoffs.
Committee on the Judiciary of the United States Senate. Stanford Law Review 58(2005), S. 703-750.
43
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Die deutlichen Hinweise darauf, dass faktische oder förmliche Abschaffung der
die öffentliche Meinung gegenüber der Todesstrafe anpassen 110. Dies entspricht
Todesstrafe inkonsistent, für kurzfristige dem Forschungsstand zu Zusammenhän-
Schwankungen anfällig und in hohem gen zwischen Kriminalpolitik und öffent-
Maße wandlungsfähig ist 106, unterstrei- licher Meinung im Allgemeinen. Denn es
chen die Bedeutung, die politischen Eliten sind die Kriminalpolitiker, die die Agen-
in der Formung der öffentlichen Meinung da der Kriminalpolitik und damit die
und im Prozess der Abschaffung der To- öffentliche Meinung und die öffentliche
desstrafe eigen ist 107. Die Forschungen Sensibilität (für bestimmte politische The-
belegen seit langer Zeit, dass sich eine in- men) jedenfalls mitbestimmen 111.
formierte und vor verschiedene Alternati-
ven gestellte öffentliche Meinung anders 5. Schlussfolgerungen
äußert als die lediglich mit der Frage „Für
oder gegen die Todesstrafe“ konfrontierte Die Abschaffung der Todesstrafe hat
öffentliche Meinung. Denn bei den glei- sich in Europa über einen Zeitraum von
chermaßen zur Verfügung stehenden Op- einem halben Jahrhundert vollzogen. Für
tionen „Todesstrafe“ „Lebenslange Frei- die Abschaffung der Todesstrafe spielten
heitsstrafe ohne Entlassungsmöglichkeit in den einzelnen Ländern verschiedene
mit zusätzlicher Wiedergutmachung“, Faktoren eine Rolle. Von besonderer
Lebenslange Freiheitsstrafe ohne Entlas- Bedeutung waren hier aber entweder
sungsmöglichkeit“ und Lebenslange Frei- scharfe Brüche in den politischen
heitsstrafe mit Entlassungsmöglichkeit“ Entwicklungen, die insbesondere durch
entscheiden sich in den USA nur noch 33% das Ende des Zweiten Weltkriegs, den
für die Todesstrafe 108, während etwa zwei Übergang von autoritären Regimen zu
Drittel sich für die Todesstrafe ausspre- Demokratien und den sozio-politischen
chen, wenn allein die Frage „Dafür oder Umbruch in den Ländern Mittel- und
dagegen“ gestellt wird 109. Die Abschaf- Osteuropas markiert waren. Die Politik
fung der Todesstrafe - auch angesichts der Abschaffung wurde durch eine klare
einer die Todesstrafe stützenden öffentli- Haltung des Europarats unterstützt,
chen Meinung - hat politischen Eliten und die zur Ratifizierung von zwei
politischen Parteien bislang langfristig Zusatzprotokollen zur Europäischen
jedenfalls nicht geschadet. Vielmehr kann Menschenrechtskonvention führte, mit
die politische Elite eine Führungsrolle denen die Todesstrafe in Friedens- und
übernehmen, denn über längere Perioden Kriegszeiten in Europa beseitigt wurde.
wird sich nach den bisherigen Feststel- Auch die Europäische Union hat sich
lungen die öffentliche Meinung ändern mit einer eindeutigen Politik von der
und der politischen Entscheidung für die Todesstrafe distanziert. Es ist damit vor
106
Zimring, F.E., Hawkins, G.: The Path Toward the Ab- allem die Staatenpraxis und das heißt
olition of Capital Punishment in the Industrial West. die Kriminalpolitik der europäischen
Grahl-Madsen, A.: The Death Penalty. The Moral, Ethical,
and Human Rights Dimensions: The Human Rights Per- Länder, die in Europa (auch gegen die
spective. Revue Internationale de Droit Penal. La Peine de öffentliche Meinung) für die Abschaffung
Mort. The Death Penalty. Travaux de la Conférence Interna-
tionale tenue à l´ Institut Supérieur International de Sciences
der Todesstrafe sorgte. Die öffentliche
Criminelles Syracuse – Italie. 17 au 22 mai 1988. 58(1987), S. Meinung hat sich ganz überwiegend
669-688, S. 680.
an die politischen Entscheidungen und
107
Zimring, F., Hawkins, G.: Capital Punishment and the
American Agenda. Cambridge 1986; Kelley, J., Braithwaite,
die die Politik der Abolition tragenden
J.: Public Opinion and the Death Penalty in Australia. Justice Überzeugungen angepasst.
Quarterly 7(1990), S. 529 – 563.
108
Death Penalty Information Center: The Death Penalty
110
Hierzu Kelley, J., Braithwaite, J.: a. a. O., 1990.
2010. Year End Report. Washington 2010, S. 1. 111
Beckett, K.: Making Crime Pay: Law and Order in Con-
Gallup, In U.S., 64% Support Death Penalty in Cases of
109 temporary American Politics. Oxford 1997; Beckett, K.:
Murder, 8. November 2010. Political Preoccupation with Crime. Overcrowded Times
8(1997), S. 1, 8-11.
46
Legal Thoughts: Reflection
Erdenetsogt.A, (Ph.D), Associate Professor, became the basis to foster human rights
Public Law Department, School of Law, and freedoms1.
National University of Mongolia Article 19.1 of the new constitution
states that “The State shall be responsible
to the citizens for the creation of …
On the occasion of the 11th guarantees for ensuring human rights
anniversary of the Administrative Court and freedoms, to fight against violation
of Mongolia, making an assessment and of human rights and freedoms and to
evaluation of the court’s nature and its restore infringed rights” and also Article
activity is a matter of great significance, 48.1 states that “Specialized courts
both in terms of science and practice. such as administrative courts may
The Administrative Court of Mongolia was be formed”. On this basis, the legal
the first court in Asia established in the grounds for the formation of a new and
Romano-Germanic tradition. In Mongolia, independent administrative cases court
each sub-national unit (21 provinces) was established.
includes a first instance administrative In accordance with the Law
court. There is a single appellate court of Mongolia on the Procedure for
operating in Ulaanbaatar, the capital of Administrative Cases2002, Article 1.1
Mongolia, which hears all appeals from declares the purpose of the law that
these first instance courts. From this “to regulate the relations connected
appellate court, cases may be appealed with preliminary decision making on
to the Supreme Court of Mongolia where administrative cases according to the
they will be heard in its administrative complaints and claims submitted by
chamber. The establishment of an citizens and legal entities who have
independent administrative court system considered an administrative act as
in Mongolia represented a radical change illegal in order to protect their infringed
in the structure of the Mongolian judiciary, rights, and with the proceedings of
and it has since come to exemplify the administrative cases in the Administrative
exercise of judicial power in Mongolian. Cases Courts”2.On this basis, the court is
dedicated to secure and protect the rights
Purpose of the Administrative
and freedoms of citizens and legal entities
Courts of Mongolia
from illegal administrative acts and
unlawful actions of public administrative
The administrative courts of Mongolia
bodies.
serves as a pillar of the rule of law and
The previous totalitarian regime’s
exercises control over the executive
public administration willfully engaged in
branch of the Mongolian state.
bureaucratic practices that encouraged
Many years of domination by
the use of the executive power to breach
the communist totalitarian regime in
the rights and freedoms of citizens and
Mongolia had obstructed human rights
legal entities, engaging in various illegal
and freedoms. The main result of the
Democratic Revolution of 1990 in 1
Constitution of Mongolia, www.legalinfo.mn
Mongolia was a new Constitution that 2
Law of Mongolia on procedure for Administrative case.
www.legalinfo.mn
47
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acts. Remnants of this systematic abuse court to which the claim is submitted, the
continue today. given and family name of the plaintiff,
Considering the 20 years of their place of residence and describe
totalitarian rule, it is evident that public the demand of the claim.8Setting up a
administrative bodies are likely to continue minimum requirement to the claim gives
breaches of citizens’ lawful rights and flout an individual an opportunity to exercise an
the rule of law. appeal to a court.
Therefore, the goal of the The content of the claim must
Administrative Court is to convince express how the administrative act or
administrative bodies to issue only acts in question violate individual rights,
lawful administrative acts and to define but it does not need to express the legal
the methods of issuing those acts. grounds on which the claim is made.
This is the nature and main purpose of Inquiry9is one of the main principles
the Administrative Court in Mongolia. for the conduct of proceedings in
However, the fundamental principle of the administrative courts and, as a
the Administrative Court of Mongolia is to consequence, the court irresponsible for
protect the subjective rights of individuals. the collection and estimation of evidence
For administrative proceedings, the which is important for settling dispute10.
plaintiff must be a citizen3 (that is, a citizen A major function of the Administrative
of Mongolia, a foreign citizen or a stateless Court of Mongolia is to retain the equality
person), and legal entity4 (private and of participants in a case. This is important
public law) and the defendant must be a in administrative proceedings, because
public administrative body5. Citizens and the non-government party is ordinarily at a
non-government legal entities cannot be a material disadvantage to the administrative
defendant in an administrative proceeding. body. Inequality between individual
Claims in administrative proceedings must citizens and administrative bodies has
complain of a specific administrative act6. been recognized as a significant issue,
The legal definition of an ‘administrative especially in development studies
act’ can be considered ‘classical’ however, literature, and thus it receives special
the definition is perhaps unusually broad, attention in Mongolian administrative
covering the features of a legal act, an law.11
actual omission and a real act7. Acting Only the plaintiff and participants
on this basis, the Administrative Court of to an administrative case has the right
Mongolia has great scope to protect the to submit a claim, withdraw a claim and
subjective rights of individuals. settle with the defendant.
The vast majority of claims submitted
Potential of Legal Protection to to the administrative courts are requests
the Plaintiff to invalidate administrative acts, compel
In order to fulfill the individual’s right administrative acts, and recognize
to bring a case before the administrative obvious illegalities in administrative acts.
courts, the minimum requirement to a Out of these, the most typical claims are
claim is stipulated in the law. A claim must requests to invalidate administrative acts.
indicate the name of the administrative The following statistics provide
3
Law of Mongolia on procedure for Administrative case Law information about these disputes that
. §3.1.3 come before the administrative courts:
4
lbid., §12.1
5
lbid., §4.1
8
Law of Mongolia on procedure for Administrative case. §32
6
A.Erdenetsogt, “Administrative Procedural Law of Mongo-
9
Inquisitionsmaxime
lia,” National handbook, Ulaanbaatar, 2006, p 221-228 10
lbid., §31.1
7
Law of Mongolia on procedure for Administrative case. 11
.Erdenetsogt, “Administrative Procedural Law of Mongo-
§3.1.4, §4.2 lia,” National handbook, Ulaanbaatar, 2006, p 16-17
48
Legal Thoughts: Reflection
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With regard to the first issue, in ac- ful and unlawful actions of administrative
cordance with the Law on Environmental bodies.
Protection, which was amended in 2010,
Non-Governmental Organizations whose Enforcement of administrative de-
purpose is the protection of the environ- cisions are divided into (1) enforcement
ment and natural resources, are granted proceedings with representation and (2)
the power to conduct public supervision enforcement proceedings without repre-
and inspection of the implementation of sentation.17Enforcement proceedings with
environmental protection legislation, may representation may include a defendant
demand the rectification of breaches and other than the public body that is capable
may submit claims to courts for decision15. of fulfilling the court’s decision. For en-
This is one example of good practice in forcement proceedings without represen-
the field of public interest litigation. With tation, only the public body as a defendant
regard to the second issue, there is great is capable of fulfilling the court’s decision,
controversy among scholars and lawyers for example, where the court orders the
as to who should represent the public in- public body to issue an administrative act.
terest in proceedings before the adminis-
trative courts dealing with transferrals of If a decision of the Administrative
public assets into private ownership by Court of Mongolia has not been fulfilled
the city government. voluntarily it will be enforced and a fine
will be imposed. In accordance with
The types of administrative court de- Article 30.4 of the Administrative Penalty
cisions are defined in the Law on Adminis- Law18, fines of between MNT5,000 and
trative Proceedings16. Defendants have a MNT10,00019may be imposed. This is
right to counterclaim to a claim requesting widely considered a very low amount.
administrative bodies to repay damages Due to this, the chance of fulfillment of
caused to a person. Other than that, the administrative courts’ decisions is low and
Administrative Court of Mongolia cannot the protection of individual rights cannot
make intrusive decisions such as limiting be reliably guaranteed. In conclusion,
the rights and imposing obligations upon strengthening the enforcement methods
individuals. A decision to dismiss the claim for court decisions is an important issue
is the only decision that may be made in Mongolia.
‘against’ individuals’ interests. According-
ly, the Administrative Court of Mongolia is 17
A.Erdenetsogt, “Administrative Procedural Law of Mongo-
a tool to protect subjective rights from will- lia,” National handbook, Ulaanbaatar, 2006, p 304-305
18
Law of Mongolia on Administrative Penalty, www.legalin-
15
Law of Mongolia on Environmental Protection, §32.1.1, fo.mn
www.legalinfo.mn 19
1 USD=1985 MNT, Official rate of Mongol bank on
16
Law of Mongolia on procedure for Administrative case. 2015.03.29, www.mongolbank.mn
§70.
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50
Legal Thoughts: Reflection
Brett Carlson, JD Candidate, Schulich LGBT rights are human rights, and must
School of Law at Dalhousie University be treated as such.
Halifax, Nova Scotia, Canada Although homosexuality is not
criminal in Mongolia, there are no anti-
discrimination laws that exist in the
I. Introduction country concerning sexual minorities.3
Protecting human rights is an integral Homophobia and transphobia is
part of a free and democratic society in widespread in Mongolia, with the treatment
the modern world. Unfortunately, many of LGBT people being indistinguishable
minorities are still fighting for recognition from persecution. In 2010, the LGBT
of their rights that are guaranteed to them. Centre4 released a report detailing
One of the most prevalent human rights the violence that LGBT people face in
issues of the 21st Century concerns sexual Mongolia, ranging from verbal attacks
minorities. Lesbian, Gay, Bisexual, and to physical and sexual assault.5 The
Transgender (LGBT), individuals around Mongolian government made promises
the world have been fighting for recognition to address LGBT anti-discrimination laws
by and protection under their respective as early as 2011, and again in 2014, but
governments. Many have succeeded there has been little progress made on
in gaining their basic rights; others those promises.6
have been able to achieve full marriage In order to realize the full potential
equality.1 Yet there still remain numerous of being a democratic society and to
countries that have not yet adopted laws fulfill their international legal obligations,
to protect this vulnerable minority from the Government of Mongolia must
discrimination. Many of these countries pursue legislation and policies to prohibit
claim that non-heterosexual sexual discrimination based on an individual’s
orientations are a product of choice, and sexual orientation or gender identity.
therefore are not entitled to protection, Human rights law exists through the
or that anti-discrimination laws are not interplay between law and policy. As
required because LGBT people do not such, I will first address multiple policy
reside in their country. This, however, is 3
Frank Billé, “Difference Shades of Blue: Gay Men and
completely untrue. Sexual orientation and Nationalist Discourse in Mongolia,” (2010) 10:2 Studies in
Ethnicity and Nationalism, 187-203, at 193 [Billé].
gender identity are inherent, inalienable 4
The LGBT Centre is a non-government organization op-
characteristics of a person, the same way erating in Ulaanbaatar, working on LGBT rights in Mongolia.
that race is inherent and inalienable.2 A It was founded in 2007 but was not given official status until
person’s sexual orientation is a part of who 2009.
they are; it is tied to their dignity. As such, 5
Andie Noonen, “Pride on the Steppe: Being Gay in Mon-
golia,” Star Observer, 11 October 2013, Accessed 29 July
all citizens of every country are entitled to 2015, http://www.starobserver.com.au/features/feature-
legal protection from any discrimination pride-on-the-steppe-being-gay-in-mongolia/110852 [Star
that arises due to their sexual orientation. Observer].
6
Hillary Clinton, Secretary of State, “Remarks in Recognition
of International Human Rights Day,” Speech in Geneva, Swit-
1
For further information, look to the laws of Canada, Spain, zerland, U.S. Department of State, 6 December 2011 [Hillary
the United States of America, Brazil, Australia, Mozambique, Clinton]; Lisa Gardner, “Mongolia Plans Anti-Discrimination
and El Salvador. Laws,” Aljazeera, 22 June 2014, Accessed 29 July 2015,
2
The National Human Rights Commission of Mongolia, http://www.aljazeera.com/indepth/features/2014/06/mongo-
“12th Report on Human Rights and Freedoms in Mongolia,” lia-plans-anti-discrimination-laws-2014617101854814248.
(2013) at 47 [NHRC Mongolia]. html [Aljazeera].
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52
Legal Thoughts: Reflection
seek asylum in a foreign country in order April 2014, three foreign men who were
to escape persecution and harassment. perceived as being homosexual were
A truly democratic society protects its physically attacked in Ulaanbaatar.20 Yet
citizens. Unfortunately many LGBT people due to the lack of hate crime legislation,
recognize that there is no justice for them at there was minimal justice provided for
home.16 Mongolian society cannot flourish these men. In order to increase tourism
when the inaction of the government is and build the economy through foreign
causing so many of its citizens, many investment, the Mongolian Government
from the younger generation, to leave and must ensure that visitors will be protected
establish a life for themselves abroad. from discrimination while here, or at least
Society succeeds when all citizens come will have the ability to seek justice should
together, not when specific minorities are a discriminatory incident occur.
segregated with no other option but to
seek asylum elsewhere. III. Mongolia is Required to Protect
the Human Rights of LGBT People
c) Economic Growth Suffers When Under International and Domestic Law
Discrimination Exists There are many positive
Without anti-discrimination laws, outcomes that arise when governments
LGBT people can be deprived of enact anti-discrimination laws with
employment, access to health care, respect to sexual orientation and gender
education, and housing.17 As previously identity. It allows for a more open and
stated, homelessness and extreme free society in which sexual minorities
poverty are significant issues facing are able to freely express their inalienable
LGBT people in Mongolia. When these characteristics. This in turn can lead to
individuals are deprived of employment and a more unified society, producing further
education, they are unable to contribute economic growth. Yet in Mongolia, these
to the economic growth of Mongolia. policy reasons are not the only driving
The absence of anti-discrimination laws force behind the need to protect LGBT
limits the possibility of LGBT people people from discrimination. Mongolia is
from achieving economic success. The legally obligated to protect LGBT citizens
World Bank has analyzed homophobia due to its international obligations as well
and discrimination, finding that there is a as its constitutional obligations under the
negative impact on national development Mongolian Constitution of 1992.
and economic growth when discrimination
is prevalent.18 It is difficult for openly a) International Legal Obligations
LGBT people to find employment and The mandate of the United Nations
opportunities in Mongolia.19Unfortunately, is clearly set out in the UN Charter: “The
due to the lack of anti-discriminatory purposes of the United Nations are […]
employment laws, the economic potential promoting and encouraging respect for
of Mongolia’s LGBT people cannot be human rights and fundamental freedoms
realized. for all without distinction as to race, sex,
The economy is also dependent upon language, or religion.”21Although not
foreign investment. Specifically, tourism explicitly included, the United Nations
is a large profit-making enterprise being has since read this Article as including
realized by many countries throughout the sexual orientation as a protected
world. Tourism in Mongolia has increased ground. All member states of the United
since the implementation of democracy Nations have a fundamental obligation
in 1992. However, tourists who may face under international law to enact equal
discrimination while in Mongolia may be protection of all people under the law and
less inclined to visit and spend money. In to require freedom from discrimination.22
16
Ibid. 20
Aljazeera, supra note 6.
17
A/HRC/29/23, supra note 9 at para 42. 21
United Nations, Charter of the United Nations, 24 October
18
Ibid. 1945, 1 UNTS XVI, at Article 2(3) [UN Charter].
19
NHRC Mongolia, supra note 2 at 57. 22
A/HRC/29/23, supra note 9 at para 16.
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1
BerbardoM.Cremades, “Arbitration between States and
2
Zhu Kepeng, “Applicable Law in International Commercial
Investors; some jurisdiction issues, in Business Law”, 2001, Arbitration”,Law Press of China, 1999, P.154
P.157 3
See, Article 42,1 of ICSID Convention
68
International Experience
rules of law as may be agreed by the place in the territory of the host state.
parties.4This principle was not only Considering all these elements, the
recognized universally as a basic principle autonomy of the parties is limited in most
in the international arbitration field, but it occasions and it is very rare for host states
was also illustrated in many important to agree on the application of law from a
international arbitration conventions such third state to govern investment occurring
as the ICC5Arbitration Rules, which set in its territory. In addition, the autonomy
forth: “The parties shall be free to agree of the applicable law cannot breach
upon the rules of law to be applied by mandatory international law, international
the arbitral tribunal to the merits of the customary law or treaty obligations. The
dispute.”6 conclusion is that the law of the host state
Similar to the ICC, the European is the typical choice for a contractual
Convention articulated: “The parties shall relationship concerning an investment.
be free to agree upon the rules of law to be The law selected by the investor’s home
applied by the arbitrators to the substance state or third state is uncommon as it
of the dispute.”7Similar provisions can conflicts with activities closely related
be found in Article 28 of the UNCITRAL to the host state’s legal system, e.g.,
Model Law and in arbitration laws of many administrative law, labor law and tax law.
countries such as France, Sweden, and According to statistics on cases
Egypt. The principle of party autonomy arbitrated by ICSID, most parties agreed
was prioritized and adopted by the ICSID in applying the law of the host state. Only
Convention. in the case of Colt Industries Operating
As some scholars point out, the Corporation v. Republic of Korea (Case
parties are free to decide the substantive No.ARB/84/2),9both parties agreed to
law that the Tribunal should apply in apply the law of the investor’s home state
their dispute settlement. They can also in their dispute. In this case, technical and
leave the matter to the second sentence licensing agreements for the production
of the residual rule of Article 42(1)8. The of weapons was more closely related to
common explanation is that both parties the law of the investor’s home state. Such
can choose the law of the host state, the cases are special and rarely appear.
law of the home state, and international
law, and general rules of law. I.3 Legal issues concerning the
However, practice shows that in application of host state law
most circumstances, parties usually As previously mentioned, the law
choose the law of the host state to govern of the host state is the typical choice,
the investment agreement since the the ICSID Convention confirms this by
investment and the dispute always take the following:”In the absence of such
agreement, the Tribunal shall apply the
4
See, Art42 of ICSID Convention.
law of the Contracting State party to the
5
ICC activities cover a broad spectrum, from arbitration and
dispute resolution to making the case for open trade and dispute (including its rules on the conflict
the market economy system, business self-regulation, fight- of laws) and such rules of international
ing corruption or combating commercial crime. It has direct
access to national governments all over the world through law as may be applicable”.10
its national committees. This provision emphasizes that the
6
See, Art 17.1 of the Rules of Arbitration of the International arbitration tribunal can directly decide
Chamber of Commerce 1988
the applicable law in the dispute if the
7
See, Art VII.1 European Convention on International Com-
mercial Arbitration, 1961 tribunal cannot find an agreement in
8
See, Art Shihata, I.F. and Parra, A.R.Applicable, “Substan- selecting a law between parties or if an
tive Law in Disputes Between States and Private Foreign
Parties”: The Case of Arbitration under the ICSID Conven-
9
Available at, http://worldbank.org/icsid/cases/conclude.
tion, 9 ICSID Review-Foreign Investment Law Journal 183, htm
1994, P.189 10
See, ICSID Convention, Art 42.1
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International Experience
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developing countries. It is only since the forth the consent of the parties to the
late 1980s that BITs have come to be submission of disputes with investors
universally accepting of the promotion from other parties to arbitration under
and legal protection of foreign investment. the ICSID Convention.26 In addition, The
According to surveys, by the end of 2009, United Nations Conference on Trade and
there were over 2,500 BITs in the world22 Development (UNCTAD) is implementing
and these enormous BITs constitute most a working program on a possible
of the legal rules comprising international multilateral framework on investment.
investment law for parties in dispute. If these Multinational Agreements
Another noticeable development in on Investment comes into force, the
this field is the fast increase of multinational settlement procedures will include both
investment treaties; we can find that state-to-state mechanisms such as in
several regional multilateral treaties WTO and an investor-to-state mechanism
dealing with investment have already as stipulated in most Bits. Therefore, the
been ratified.23 In 1995, negotiations were application of international law in the ICSID
established within the Organization for mechanism will be greatly enhanced and
Economic Co-operation and Development facilitated.
(OECD)24 in conclusion of the Multilateral ICSID tribunals have frequently
Agreement on Investment (MAI).25 It applied rules of customary international
was envisaged that apart from providing law in its practice. In the case of Benvenuti
covered investments with substantive & Bonfant v Congo, the Tribunal
protections (as to general standards upheld the principle of compensation
of treatment, expropriation, currency in nationalization, constituting one of
transfers and so on), the MAI would set the generally recognized principles
of international law.27 Similarly, in the
22
World Investment Report 2009 overview, P.1] Available at,
http://r0.unctad.org/wir/pdfs/fullWIR02/ppxv-xxx.pdf LETCO v Liberia case, for nationalization
23
These include the North American Fee Trade Agreement, to be lawful, the Tribunal argued that it
reprinted in 32 ILM 289(1993); the Colonia Protocol on would have to be based on a legislative
the Reciprocal Promotion and Protection of Investment
within Mercosur, signed on January 27, 1994 and the enactment, taken for a bona fide public
Buenos Aires Protocol on the Promotion and Protection purpose, remain non-discriminatory
of Investment Made by Countries That are not Parties
to Mercosur, signed on August 8, 1994(both protocols
and accompanied by appropriate
concluded under the Asuncion Treaty Establishing a compensation.28Customary international
Common Market Between Argentina, Brazil, Paraguay law usually provides rules on the minimum
and Uruguay (Mercosur), signed on March 26, 1991); the
Treaty on Free Trade Between Colombia, Mexico and standard for the treatment of aliens related
Venezuela, signed on June 13, 1994; and the Energy to their property, and more specifically on
Charter Treaty, reprinted in 34 ILM 381 (1995).
expropriation and compensation, on the
24
OECD was established 1961 in Paris, it brings together
the governments of countries committed todemocracy and prohibition of denial of justice and on state
the market economy from around the world. It provides a responsibility for injury to aliens, these
setting where governments compare policy experiences,
seek answers to common problems, identify good prac- being obvious examples. In addition to
tice and coordinate domestic and international policies. customary international law, there are
25 It was negotiated between members of the Organisa- general principles of law and other opinions
tion for Economic Co-operation and Development(OECD)
between 1995 and 1998. Its purpose was to develop mul-
of well-established scholars related to the
tilateral rules that would ensure international investment definition of Article 38 from the statute of
was governed in a more systematic and uniform way be-
tween states. When the first draft was leaked to the public in
the International Court of Justice debating
1997, it drew widespread criticism from civil societygroups whether legal rules require practice by a
and developing countries, particularly over the possibility
that the agreement would make it difficult to regulate for- 26
See, Antonio R.Parra “The Role of ICSID in the Settle-
eign investors. After an intense global campaign was waged ment of Investment Disputes” ICSID news, Volume
against theMAI by the treaty’s critics, the host nation France 16,No.1.1999,P.5
announced in October 1998 that it would not supportthe
agreement, effectively killing it due to the OECD’s consen-
27
Award, 15 August 1980, 1 ICSID Report 357
sus procedures. 28
Award,31 March 1986,2 ICSID Report 366
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ICSID tribunal may not render a decision one of interdependency and interaction.
on the basis of the host state’s domestic Today, no state can exist without trade
law, which is in violation of a mandatory and business with others. The gap
rule of international law. between international law and national
The idea of international law playing law is narrowing. An important priority is to
a supervisory role has earned objections harmonize national law and international
from many developing countries. The key law.
point of contention is domestic control Theoretically, international law and
of international investment disputes. domestic law are both made by states,
Therefore, if the host state does not have therefore, international law and domestic
international obligations to the investors, law should not necessarily be in conflict,
international law should not interfere but penetrate and assist each other.34In
with measures taken by the host state consideration of the current imperfection
to deal with foreign investment in their of international law, the application of
territory.32Insisting on international law as international law in practice should be
only playing a supplemental role reflects subject to some standard. The Tribunal
the concern of developing countries before should try to find clear and generally
the 1990s; their concerns related mainly recognized rules of international law, such
to politics and national security. Today, as international conventions, bilateral
along with the current changes in the treaties, general international commercial
international environment, especially the customs, etc.
acceleration of globalization, international In conclusion, there must be
law has been strengthened, e.g., the rules taken cautiously when applying rules of
of WTO33 as part of international law. international law in investment dispute;
Considering the current international relationship between law of host state;
social climate, international law is still international law should be interdependent
based on the principle of state sovereignty, and inactive rather than fighting against
and as a result, the state has the authority to each other.
manage activities in its territory. Under the
ICSID mechanism, a state already makes I. 6 Issues concerning the
a concession of this exclusive jurisdiction application of Article 42(2)
to foreign investors and consents to submit Article 42(1) is the most important
an investment dispute to the jurisdiction of rule regarding the selection process
the ICSID. Hence, if international law can of applicable law under the ICSID
supervise and revise the law of the host mechanism, and in most cases parties
state in dispute settlements, developing adopt this rule in their agreement. At
countries will be greatly frustrated and the same time, the Convention includes
refused by the ICSID mechanism. Thus, another very important supplementary
in order to enable the ICSID mechanism rule. It is Article 42(2) of ICSID convention,
operate effectively, the idea of superiority which reads: The Tribunal may not bring
of international law should be seriously in a finding of non liquet on the ground of
considered. silence or obscurity of the law.
The feasible and predictable This article also is found in many
relationship between international law and international arbitration rules, which
the law of host states in dispute should be are widely recognized and applied in
32
Zhou Chengxin “Measure of international investment dis-
pute settlement”, Publishing house of China University of
Politics Science and Law,1989, P.213
33
It was established on 1995 in Geneva, it is the only glob-
al international organization dealing with the rules of trade 34
Wang Qieya, “International Law” law press of China,
between nations. 1981, P.35
74
International Experience
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aequoet bonois an ancient legal principle the host country.41 The application of ex
universally accepted by countries. It is aequoet bono can be agreed between
derived from Roman law and used to parties before or after the emergence
supplement a defective contract or to of a dispute. In the case of Benvenuti &
prevent bias in law. This principle has a Bonfant v.Congo, there was no mutually
very positive function to fill the lacunae agreed choice of law. At the Tribunal`s first
or insufficiency of law.38 The meaning session, the claimant suggested that the
of it is: according to what is right and Tribunal be granted the power to decide
good or in justice fairness or from equity ex aequo et bono, but the respondent
and conscience (unclear).39 Through rejected. Later on during the proceedings,
this principle, Article 42(3) furthermore the parties reached an agreement to
reinforces the spirit of autonomy of parties attempt an amicable settlement on June
embodied in article 42(1). 6 1979; they authorized the Tribunal to
This principle of aequoet bono render its award as quickly as possible
requires a specific party to consent and by judgment ex qequoet bono.42 After
such an agreement must be explicit. being notified of a failure to settle through
The parties agree to resolve a dispute negotiation, the Tribunal applied Article
through the principle of aequoet bono, 42(3).
which allows them to maintain flexibility When the parties have no
and amity. When an application of law agreement to authorize the Tribunal to
can cause unfair or stiff results, they may apply the principle of ex aequo et bono,
alleviate the side effects by using this the application of it by the Tribunal
principle. will constitute a use of excess powers
As mentioned above, if the award occasioning annulments stipulated in
has failed to state the reasons on which it Article 52(1)(e) of the Convention.43
is based, the Tribunal must express their In practice, the application of Article
reason in the award according to Article 42(3) has caused great disagreement;
48(3) of the Convention.40Therefore, in it is not easy to give a clear standard to
practice, the Tribunal applies this principle appraise an award based on this principle.
caution and seriousness. If appropriate However, the power conferred on the
law can be applied, they should apply it as Tribunal to decide aequo et bono does
long the application of exaequo at bono is not prevent the Tribunal from applying
objective and reasonable. the rule of law, and it is on this point that
In practice, the application of this the controversial issue occurred. Like in
principle always pertains to compensation, the same case of Benvenuti & Bonfant
and always, the parties to the dispute v Congo, the Tribunal was authorized by
have very different claims. Especially in the parties to decide ex aequoet bono
the case of complex long-term investment and it did not preclude the Tribunal from
relationships, unexpected circumstances looking at the rule of law. The Tribunal
may arise. Thus, a decision based on held that compensation for nationalization
equity rather than on law may provide was required by the host state’s law,
a fair and satisfactory solution while international law as well inequity. The
sustaining amity between the investor and result is that the Tribunal determined
41
P.F.Sutherland, “The World Bank Convention on the Set-
tlement of Investment Disputes” In international and Com-
38
LyuoByoungHwa,”International Law”Volume 1, Publish- parative Law Quarterly, Vol.28.July 1979, P.393
er of China University of Political Science and Law. 1997, 42
See, Award, 15 August 1980, 1 ICSID Reports, P.342
P.224 43
Art 52.1 Either party may request annulment of the award
39
Steven H.Gifis. Law Dictionary 1996, Barron’s Education by an application in writing addressed to the Secretary-Gen-
Series, Inc.P.179 eral on one or more of the following grounds (e) That the
40
See, Art 52.1 of ICSID Convention award has failed to state the reasons on which it is based.
76
International Experience
the quantum of damages ex aequoet state the reasons underlying an award for
bono. The Tribunal was criticized, and it the obligation imposed by Article 48(3)
was argued that they should have apply and may render decisions made by the
Congolese law and the measure they principle of ex aequo et bono without
took in fact excluded the application of manifesting reasons to annul under Article
Congolese law. 52(1)(e). Finally, based on commonsense,
This provision accords the Tribunal the application of ex aequoet bono must
the right to judge regardless of the law of a be in conformity with mandatory rules
host state or international law and to some and international public policy. As a
extent, it enables the arbitrators to decide suggestion, developing countries such
the case based on their consciousness as Mongolia must be very cautious when
and understanding of justice. Therefore, choosing to apply Article 42(3) during
there must be some limitation. In dispute settlement.
practicing ICSID, most arbitrators come Conclusion - Comments on Article
from developed countries and they 42 of the ICSID Convention
always incline to apply the standard of Article 42 sets up the basic principles
developed countries. At the same time, for the ICSID mechanism to operate and
many cases prior to the establishment provides a robust example of international
of the ICSID Centre were occasioned by arbitration law. The autonomy of the
nationalization and expropriation caused parties stipulated in the first sentence of
by developing counties; and the quantum Article 42providesflexibility and freedom
of compensation always is a controversial in the settlement of disputes.
aspect between foreign investors and Further, Article 42 manifestly sets
the host state. Developed countries, forth law of the host state and international
such as the United States of America law as applying unless the parties stipulate
claimed that the compensation must be otherwise. On the one hand, the clear
prompt, adequate and effective.44On the expression of the application of host state
contrary, developing countries, based on law protects its interests and respects
various U.N. documents, only recognize its legal sovereignty. However, on the
appropriated compensation given to other hand, application of international
foreign investors; they emphasize that law can bring more protection to foreign
disputes about compensation should investors and requires the state to
be settled under the domestic law of improve its domestic law in accordance
the nationalizing state unless agreed with international standards.
otherwise.45Thus, if this principle is not The structure of Article 42 consists of
given more restriction and interpretation Section (1), the main body and Sections
in practice, it will undermine developing (2) and (3) as important supplements
countries’ position and their acceptance to Section (1). Section (2) requires the
of the ICSID mechanism as a legitimate Tribunal to work out a resolution in a
form of conflict resolution. dispute. In doing so, it reinforces the
So what is the best method in authority and efficiency of the ICSID
applying the principle of ex aequoet bono mechanism. Section (3) gives the Tribunal
in dispute? Firstly, as a prerequisite, the the right to apply the ex aequoet bono
Tribunal must receive the consent of principle, which further strengthens the
both parties. Secondly, the Tribunal must functions and discretion of the Tribunal.
In conclusion, Article 42 builds an
44
Schwebel, The Story of the U.N’s Declaration on Perma- interactive, complete system of applicable
nent Sovereignty over Natural Resources, 49 A.B.A.J 463,
1963
law within the ICSID mechanism while
45
See, Resolution on Permanent Sovereignty over Natural
setting an example for other international
Resources. Dec, 14,1962
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LAW REVIEW 2015 ¹5(55)
arbitration institutions and the use of system, must find a balance to sufficiently
international commercial law. In practice, protect their national interests, and at
countries, especially developing countries the same time guarantee protection for
with applicable law issued in their legal foreign investors.
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