Documenti di Didattica
Documenti di Professioni
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LAW REVIEW
Journal of legal and academic research, theory and practice
LAW REVIEW 2015 5 (60)
Ulaanbaatar 2016
Ulaanbaatar 2016
LAW REVIEW 2015 5(60)
2
EDITORIAL BOARD
J.Amarsanaa Academician
B.Amarsanaa (LL.D)
D.Bayarsaikhan (Ph.D)
O.Munkhsaikhan (LL.D)
D.Sunjid (Dr.jur)
Ts.Tsogt Judge of the Administrative Appellate Court
S.Enkhtsetseg Director of National Legal Institute
Kh.Erdem-Undrakh (Dr.jur)
A.Erdenetsogt (Ph.D)
Editor-in-Chief
E.Batbayar
Acting Assistant Editor
B.Gonchigsumlaa
Designed by
Z.Erdenetugs
, ,
3
4
CONTENT
INTERNATIONAL EXPERIENCE
5
6
Before Creating a Law
An nterview with Mr. Vladimir Jirousek, systemic parts of the advocacy was in
the former president of the Czech Bar principle entrusted to selected members
Association of the Communist Party, who are of
course subject to the Partys guidelines.
Mr. Vladimir Jirousek has been Regardless of this fact, however, the
working as an advocate since the socialist advocacy maintained to a significant
time. He is one of the leading figures in extent (in the personal-individual sense)
the Czech lawyers community, who an internal independence and the
has pushed the reforms of the Czech majority of ordinary lawyers respected, as
Bar Association (CBA). Mr Jirousek has much as possible, the principle mission
served as a member of the Disciplinary of the advocacy. In this sense, it may be
Committee and a Board member as well noted that the advocacy was the only
as the Vice-Chairman and the Chairman opposition tolerated to the regime at the
of the CBA respectively. Mr. Jirousek is time, although an opposition sui generis.
the founder and partner of the law firm Did citizens in Czechoslovakia
Jirousek, Skalnk, Bernatk & partnei have the right to choose its lawyer?
that provides legal services to medium- How did you select a lawyer for a case?
sized and large companies in commercial In normal cases without political
transactions. connotations citizens were free to choose
Thank you for this interview. to be represented by any lawyer. In a
We may start with the time of criminal case, if a citizen did not chose
Czechoslovakia. How did you start his/her lawyer, and the legal defence was
your career as a lawyer? compulsory in law, he/she was assigned
I joined the legal profession in ex officio a lawyer from the competent
1974 as a law clerk (Konzipient, junior LCO. In addition, however, for each
lawyer). After completing a three-year administrative area existed special lists
legal traineeship under the supervision of of advocates and only the advocates
a coach (senior lawyer), I passed the bar registered in these lists were entitled
exam and started exercising my advocate to represent or defend in the matters in
practice, on the basis of an employment which the discussed subject matter was
contract, in a (state run) law counselling allegedly classified as confidential or
office (LCO) in Ostrava. secret. Of course, it concerned mostly
Did you have a Bar Association the political cases, or as the case may be,
during the communist era? Was this the cases over which the party maintained
organisation independent? the control.
At the time when I started my From todays perspective, it
career, the professional organization seems that the Advokates Collegium
was the Centre of Czech Advocacy of the Mongolian Peoples Republic
(CCA). Though the CCA was formally was organised like a single state run
independent, in fact, of course, it was law firm. It seems that the Advokates
dependent. In this context, it should Collegium exercised control over the
be recalled the organization system of salary of each lawyer. How was the
the Czech advocacy, which consisted practice in Czechoslovakia?
of LCOs bringing together practicing Legal services were paid entirely in
lawyers, these were placed under the accordance with the regulation on legal
authority of the Regional Bar Association, fees, i.e. contractual prices were not
and all these parts were subject to the allowed. Attorneys of each LCO (number
control of the CCA. Steering of all the of lawyers in each LCO was regulated
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LAW REVIEW 2015 5(60)
e.g. for Ostrava and the district of Ostrava How do you select the president
applied a limit of up to 27 lawyers) were and board members of the CBA? Are
employees in employment relationship there differences in voting procedures
whereby their maximum salary was set that were used during the communist
significantly lower than was the case with era and those used today? Did you
prosecutors and judges (taxi drivers and have to deal with the situation where
hairdressers had also salary significantly a handful of people exercised power
higher). Usually once in a quarter the over the Association during several
LCO head was deciding, in collaboration generations? If so, how did you
with the management of the Regional democratize the Bar Association?
Bar Association, about bonuses by Every four years the Assembly of the
considering the amounts earned for the CBA is convened, whereby each advocate
LCO by the advocate. In this context, has the right to attend the Assembly.
it should be noted that even under the The Assembly elects 11 members of the
socialist rule the citizens paid for legal Board of the CBA and five alternate Board
services from their own money (there was members. Board members then elect
a cash desk in each LCO). the president of the CBA. In addition,
What reforms did you do to ensure the Assembly elects the members of the
the citizens right to choose their own Supervisory Board of the CBA and the
lawyer after the fall of the communist members of the Disciplinary Committee
regime? How did you reform the CC? and the Appeal Disciplinary Committee of
What did you do for establishing an the CBA.
independent bar association? It is true that during the socialism
As for the citizens right to choose existed, within the limits set by the then
their own lawyer, there was necessary applicable provisions, the CCA electoral
nothing else than to abandon the above- conferences, but with the important
mentioned lists. We embarked on the difference that the candidates for the
reform of the legal profession immediately functions were, safe exceptions, carefully
after the fall of the totalitarian regime, selected and appointed (the clear majority
and already during the first half of 1990, were members of the Communist Party,
we prepared and got through such who were relatively very few in the legal
legislative changes that, as from 1 July profession).
1990 each advocate, until then registered At present, any of the advocates can
as an employee of the CCA, became an run for any function based on his or her
independent and self-employed lawyer, free decision. I can say that it has never
and this as a member of an independent happened since 1990 that a group of
and autonomous professional people would have an uncontrolled power
organization - the Czech Bar Association over the Association. For example, the
(CBA). I emphasize that from the very CBA president is the subject to the control
beginning until now the membership of the and the disciplinary powers of the CBA
advocates in the Czech Bar Association is bodies are independent from the Board of
mandatory. Directors of the Association.
If you ask about the first and The Czech Republic is
fundamental steps involved in starting economically integrated with the
an independent bar association, then European common market and the
it should be mentioned the followings: world market strongly. There are many
laying down the conditions for practising foreign law firms in the Czech Republic.
the legal profession while ensuring a It seems, however, that the Czech law
free (liberal) exercise of the profession, firms are highly competitive against
i.e. an absolute abolition of the principle the foreign law firms.
of numerus clausus, introduction of Already in the 90s of the last century
compulsory insurance of legal services the CBA allowed the operation of foreign
and defining the rules of the disciplinary lawyers and foreign law firms in the
responsibility of advocates. Czech Republic. Although the move
8
Before Creating a Law
was criticized at the beginning, it soon principle concluded between the client
became apparent that it was a step in and the law firm. The client pays the
the right direction, because the Czech law firm. This means that the finances
lawyers, namely the larger law firms with of the law firms are separate from its
larger ambitions, had to demonstrate shareholders (partners). What is the
following the entry of the foreign players principal structure of financing in an
in the market sufficient quality to be average, well-established Czech law
competitive. At present, the situation is firm? What is the main feature of the
completely free of conflicts, and moreover liability of the advocates in relation to
the so-called foreign law firms are today the client?
virtually without exceptions managed An advocate may perform advocacy
and staffed by the Czech advocates. In individually, in an association or in limited
this context, it is also to be recalled that liability companies, limited partnerships
the Czech Republics accession to the (Kommanditgesellschaft) or general
European Union enshrined the institute of partnership (Offene Handelsgesellschaft).
the established European lawyer and the If the lawyer practices law within the firm,
visiting European lawyer. the practice is similar to that in Germany.
What is the main feature of the The advocate himself / herself may also
regulations concerning the foreign be a firm, or be employed by another
lawyers and law firms? lawyer. He or she can also practice
Generally, the lawyers from the advocacy in liaison with a firm, association
EU are authorized to provide legal or with another advocate in a so-called
services in another Member State under associated form based on the contract as
approximately the same conditions, either defined by the Act on Advocacy.
in the position of the so-called visiting Regarding the liability for damages,
lawyer or as a so-called established an advocate who practices advocacy
European lawyer. The Act on Advocacy independently or in association is
also regulates the operation of foreign responsible for damage to the client
law firms in the Czech Republic. A visiting personally, or in solidarity, if an advocate
European lawyer operates on a case- practices law in a company or a foreign
by-case basis, which is reflected in a company, the company is liable for the
relatively simple regulation of his position. damage caused to the client. Something
Established European lawyer must be else, however, is the responsibility for the
registered in the list of European lawyers performance of an advocate in relation to
kept by the CBA, whereby the conditions a client in terms of disciplinary liability. It
for his or her registration are relatively can be stated that in the Czech Republic
extensive and stringent. both the corporate practice of law and the
The advocates providing legal independent law practice are developed.
assistance through an established foreign One does not exclude the other. It should
law firms are mainly Czech advocates be emphasized, though, that only the
registered in the list kept by the CBA. If advocates may be partners or associates
in the beginnings of the functioning of in the law firm and the subject of business
foreign law firms in the Czech Republic may only be the practice of law.
were these companies led by foreign Normally, the owners of law firms
lawyers, then it meant almost exclusively should be lawyers by themselves.
the matters of management. Today, also This principle seems to be global, so
these positions are held mostly by Czech that worldwide law firms are owned by
advocates. I would like to emphasis here lawyers only.
that the openness of the Czech advocacy But it is not true that the principle that
to the world paid off. partners in a law firm could only be lawyers
In Germany, for example, the applies throughout the world. One can
law firms are led by partners who are find multifunctional companies providing,
entitled to share the profits. A contract among others, legal services in the
for provision of legal services is in Anglo-Saxon concept. To my knowledge,
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LAW REVIEW 2015 5(60)
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Before Creating a Law
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LAW REVIEW 2015 5(60)
12
Before Creating a Law
and standards are subject to both private bound to assure to nationals of such
and public law, which leads competition countries effective protection against
law to become a distinguished sector law. unfair competition.
3. Connection between the (2) Any act of competition contrary
Competition Law and the Private Law to honest practices in industrial or
The origin of competition law dates commercial matters constitutes an act of
back to the end of the 19th century unfair competition.
when a number of strong trusts new (3) The following in particular shall
type of economic entity emerged be prohibited:
in the US economic sector and then (i) all acts of such a nature as to
dominated the main economic sectors create confusion by any means whatever
and started running operations against with the establishment, the goods, or the
consumer interests. This forced the US industrial or commercial activities, of a
governmenttomake a policy to control and competitor;
regulate the market competition and limit (ii) false allegations in the course
monopole operations, which created ever- of trade of such a nature as to discredit the
first well-arranged understanding on the establishment, the goods, or the industrial
prohibition of unfair competition.6 or commercial activities, of a competitor;
Since then, some other countries (iii) indications or allegations
started forming their own legal regulations the use of which in the course of trade
for competition7. For example, Germany is liable to mislead the public as to the
adopted the Act against Unfair Competition nature, the manufacturing process, the
(AAUC) in 1896. characteristics, the suitability for their
Mongolia first adopted the Law purpose, or the quantity, of the goods.
on Prohibition of Unfair Competition This article is to make its readers
(LPUC) in 1993 and its updated version understand its aim to consider how the
was passed by the parliament in 2010, prohibition of agreements and deals,
renaming it the Competition Lawof which might cause bottleneck in the
Mongolia. The law aims at creating a LPUC, is regulated so that the competition
condition which enables fair competition law directly relies on the private law.
of economic entities in the market, the To understand this, four main objects
prevention, prohibition and limitation of protected by the competition law need to
any dominations or operations against be considered frist. These include:
fair competition, and determination of a This article aims at explaining the
legal basis for the government agency to regulation of
regulate the competition. 1) Protection of a competitor against
As part of international conventions unfair competition;
for the prohibition of unfair competition, 2) Protection of a consumer against
the statement of Article 10bis of the Paris unfair competition;
Convention for the Protection of Industrial 3) Decentralisation of power; and
Property adopted in 1883 reads:8 4) Limitation of an agreement
(1) The countries of the Union are against fair competition.
Protection of competitors: One
6
The Unfair Competition Supervising and Regulatory Agen- subject protected by the competition
cy of Mongolia, 2005-2007 /report, research, audit/., Ulaan- law is the competitors. Article 1 of the
baatar., 2007., page 4
AAUC reads: The Act aims at protecting
7
Gesetz gegen der Wettbewerbsbeschrnkungen and Ge-
setz gegen den unlauteren Wettbewerb in Germany; Anti-
competitors, consumers and other
trust law (Sherman Act, 1890, Clayton Act, 1914, Federal stakeholders against unfair agreement
Trade Commission Act, 1914) in the US; Restrictive Trade activities. At the same time, it also
Practice 1976, Fair Trading Act, 1973, Resale Price Act,
1978 Competition Act 1980 in the UK;Monopoly Regulation
aims at protecting the public interests
and Fair Trade Act, 1981 in the Republic of Korea; Prohibi- in the competition.9 According to the
tion of Monopoly and Maintenance of Fair Trade Act, 1947 above statement, the main goal of the
in Japan; and Law on Prohibition of Unfair Competition in
Mongolia, 1993, 2000, 2010.
competition law has clearly and accurately
8
http://www.legalinfo.mn/law/details/1194?lawid=1194 9
Art. 1. Gesetz gegen den unlauteren Wettbewerb, BRD
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LAW REVIEW 2015 5(60)
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Before Creating a Law
vertical agreement is the tying agreement.For the content, a manufacturer and supplier
make a mutual agreement in which a vendor conditions the sale of a particular product
on a vendees promise to purchase an additional unrelated product.
The other common types are the exclusive dealing agreements in which
manufacturer and supplier agree that they will only deal with a certain vendor and the
resale (retail) price maintenance agreements in which manufacturer and supplier set the
prices of products.
Data exchange agreements are activities in which manufacturer and supplier
exchange their information on the industrial cost, price, know-how, technique and
technological indicator, or exchange data on consumers face insolvency, or provide
consumers with misleading figures.
The importance of categorising the anti-competition agreements determines
a causal relationship that becomes the basis of legal responsibilities. The type of
responsibility to be imposed depends on the agreement type; whether the agreement
is a horizontal or a vertical. If any cases of the horizontal agreement are found and
confirmed, it would be the basis to impose the legal responsibility which is relatively
heavier than that of the vertical agreement.
How the three types of agreements are defined by the Competition Law of
Mongolia14 is as follows:
No Agreements and activities prohibited by the Competition Law of Mongolia
Type of Agreement: Horizontal Agreement
The Competition Law of Mongolia 11.1
- Agree and set the prices of products;
- Divide the market into territory, production, service, sales, product description,
and buyer;
- Limit production, supply, sale, loading and transportation of a product, market
penetration opportunity, investment, equipment and technological innovation;
- Pre-agree the price of products and other conditions and requirements before
taking part in competitive selection, tender and the public procurement of a
product, work and service.
The Competition Law of Mongolia 11.2
- Object to the establishment of any economic relations without carrying out a
1
feasibility study;
- Limit sales and purchase of goods to/from a third party;
- Co-object to any agreements that are important for the competition;
- Hinder competitor in becoming a member of any organisations to increase the
profitability of an economic entity.
The Competition Law of Mongolia 7.1
- Set the price and identify the territory of a product to be resold;
- Demand any economic entities unreasonably to transfer its financial tool,
property, their rights and workforce to oneself;
- Demand competitor to reorganise his/her company in ways of incorporation,
merger and acquisition, division and separation.
Type of Agreement: Vertical Agreement
14
http://www.legalinfo.mn/law/details/12?lawid=12
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Before Creating a Law
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LAW REVIEW 2015 5(60)
3. Case- Bildrhren
http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52013XX1019(03)&rid=1
4. ase- O2 (GERMANY)
http://curia.europa.eu/juris/liste.jsf?td=ALL&language=en&jur=C,T,F&num=T-328/03
5. Case- Intel
http://ec.europa.eu/competition/antitrust/legislation/swd_2014_230_en.pdf
---o0o---
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Before Creating a Law
B.Enkhbold (Ph.D), Head of Police the criminal justice system in the country
Research Center, Research and comprises a composite whole. The legal
Development Institute, Law Enforcement and social institutions for enforcing the
University criminal law thus apply uniform rules and
procedures in all twenty one administrative
units of the country in executing their
Abstract respective mandates.The criminal
The objective of this article is to justice system in Mongolia has changed
introduceabout criminal justice reform in significantly over the 20 years since the
Mongolia and its outcome of performance country became democratic.The criminal
encompassing last 11 years. Data on justice system is deemed a focal area in
criminal justice statistics for period the transition to democracy, and in the
between 2004 and 2014 obtained from process of democratization of institutions
three different criminal justice agencies and civil society. Police and courts are
police, court and correction services. seen as the vanguard of democratic
Despite the passage of significant legal change. It is a significant characteristic of
reforms and considerable changes such claims that the legitimacy of criminal
in criminal justice sector operations, justice institutionsthe police and the
especially in the courts and the police courtsis seen as decisive in securing
service, public trust in the rule of law is legitimacy for the transition to democracy,
still not well established; and critics often and for democratic government, and
question the capacities and fairness of the thus the contribution of these institutions
criminal justice system.Statistics shows to the political stability in the transitional
that average crime rate per 100,000 environment is of major importance
persons were 767 last 11 years. According (Susanne, 2003).
to statistics, 20973crimes were reported ComparingMongolia with other
to police and 13036 or 63.1percent out of countries within the region, the
the total number were solved. Averagely, countrys reform efforts have been
19308 persons were investigated as generally successful. During the early
suspects per year and 8359 or 43.9 and economically difficult times since
percent out of that number were ruled as democracy was established, reform
guilty and convicted by court. As for types activities naturally focused on legal
of punishment per 100,000 persons, 0.2 reforms, including the creation of a
percent was imposed by death penalty, legislative framework for democratic
73.5 percent by imprisonment, and 26.3 institutions, the transition to a market
percent by other punishments. Currently, economy, and significant changes in the
over 6000 inmates are serving in prison relationship between the state and the
in Mongolia. It requires further following people.
studies which support to evaluate Within last 20 years, numerous
Mongolian Criminal Justice System. studies on legal reforms of criminal justice
system and its component organizations
Keywords: Mongolia, Criminal such as court, prosecutor, police and
justice system, transition, legal reform, correction agencyhowever those studies
criminal law, crime clearance, punishment, were focused on their respective fields
prison population solely. Following issues have mainly been
covered on above mentioned studies. 1)
1. Introduction Making analysis on the consequence of
With Mongolia being a unitary state, implementation of enacted laws based on
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LAW REVIEW 2015 5(60)
the criminal justice reform being effective II. Reform of Criminal justice in
since 1990 andits process as well as Transition
upgrading the process as a whole(Carlos, In 1990, Mongolia went through a
2001;Gramckow & Allen, 2011;Landman transition, establishing political democracy
et al, 2005; Jantsan,2005; Narangerel, and creating market economy while
2001;Tavanjin, 2004),2) Transparency of abolishing the totalitarian regime and
law enforcement organizations, ensuring began a comprehensive transition toward
of human rights,freedoms and its legal a new political system(Pomfret, 2000).The
guarantees,and public attitude towards Rule of Law is equally important for both
the performance of law enforcement objectives: the development of a market
organizations(Brent, 2008; Dolgorsuren, economy and a democratic state. Strong,
2014; ICFMC 2008; Tsend, 2010),3) autonomous, and respected criminal
HR policy, definition of legal condition justice system are the necessary parts
of law enforcement personnel (Batayev, of an effective legal order(Carlos, 2001).
2005; Dumburai,1999;Lundendorj, In order to achieve the above goals there
2002). Although the studies have was an urgent need to establish a basic
covered quite broad areas as mentioned legal framework within which society could
above,unitaryresearch onoutcome of evolve itself politically and economically
the establishment of law enforcement while maintaining its culture and identity.
organizations and its purpose has not The first stage of criminal justice
been conducted yet. New aspectof reform culminated in 1992 with the
this article is to make analyseson legal adoption of a new democratic Constitution.
reforms of law enforcement organizations The Constitution formalized the separation
and their performances. of powers between the judicial and other
The core objective of this article branches of the government, ensuring
is to introduceabout legal reform of the judiciarys independent status. The
criminal justice systemas a whole as Constitution also introduced judicial
well as on the outcome of performance standards, such as the right to a fair trial,
of law enforcement organizations the right to counsel, and the presumption
such as police, court, and correction of innocence. The court structure has
encompassing last 11 years. In order been transformed by significantly
to reach to the objectives, numerous reducing the number of courts, abolishing
fundamental issues onhistorical and both military and railway courts and those
political background of legal reform,reform for hearing the state-owned enterprises,
of criminal justice in transition, crime and introducing a constitutional
and punishment under Mongolian court(Narangerel, 2001).Moreover, role
criminal code, currentcriminaljustice and authority of the prosecutor had been
administrationandcriminal justice specifiedwhile police organization was
statisticshave been taken into legalized to bea separate agency under
consideration. Moreover, crime and crime the government with authorized roles of
clearance rate in Mongolia (responsibility ensuring public security and fight against
of police), criminal punishments for crimes, which became the fundamental
offenders convicted (responsibility to reform the criminal justice system in
of court), and prison population democratic Mongolia.
(responsibilityof correction service) were Accordingly, the Parliament of
applied as general objectsin the research Mongolia developed its very first law
forthe criminal justice analysis. of court, prosecutor and police in
This article is not only focused on 1993 (Jantsan, 2009). The laws define
the analysis of crime combat system, its the organizational structure of each
reform process, and current situation of the component and prescribe its rights and
reform in Mongolia but also included some duties. At the time, most countries in the
recommendations for discussion which developing world move from authoritarian
may contribute to further development of to democratic criminal justice system
the reform process. especially in policing. Mongolia has
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Before Creating a Law
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LAW REVIEW 2015 5(60)
characteristics of human rights violation simple formulas can provide several basic
during interrogation processand transfer standards such as what was the crime
the this authority to judges, 3) Provide rates and rate of incarceration in Mongolia
secure working environment to law between 2004 and 2014. It is based on the
enforcement personnel and equip the law number of crimes, rate of incarceration
enforcement organizations with cutting- per 100,000 people.
edge technologies, increase HR capability, Crime and crime clearance rate
offer competitive benefits, and enhance Public trust on the police is closely
legal environment of the organizations in related to the police performance in
order to bring their performance to world crime control (Jang & Hwang, 2014).
standard. Thereforecrime prevention and control
III. Criminal justice statistics have been considered the primary
Data source responsibility of the police. In particular, the
Data on criminal justice statistics for crime rate of a society is commonly used
period between 2004 and 2014 obtained as one of the most important indicators
from three different criminal justice of police performance (Goldstein, 1977;
agencies; police, court and correction. Kelling, 1996). However, there has been
The content of criminal justice statistics is a significant increase in recorded crime
established by the criminal legal system rates, especially since 1990, and it has
of nation. It is the criminal legal system fluctuated over the last 10 years. As
that defines crimes and consequently indicated in below table-2, averagely
designates individuals as offenders. 20973 crimes have been reported to
Transnational differences in definitions police in 11 years and 63.1 percent out of
of such widely used terms as crime, that was solved whilecrime rate was 767
offender, suspect, charge or conviction per 100,000 people in 11 years. Starting
are inevitable. Similar observations apply from 2007, crime rate decreasedgradually
to data from the administrative records of while it started to increase again from
the police, courts and prisons. Mongolia 2012 reaching its peak in 2014. The crime
has a centralized data-collection system rate went by 33.8 percent or 8413 crimes
and each criminal justice components that comparing the rate between 2004 and
cover all areas of Mongolia are required 2014. Rate of clearance the crimes was
to follow standardized national procedure the highest about more than 80 percent
to record crime, offender, charges and between 2004 and 2006 whereas it
sentence and prison related statistics. reached the lowest between 2007 and
Statistics departments under police, 2008 followed by constant decrease from
prosecutor, court, and correction services 2010. Comparing to the year 2004, rate
make analysis on data, sent by local level of crime clearance went down by 23.2
law enforcement organizations, which percent in 2014. During socialist regime,
ismonthly, quarterly, and yearly, sent to the rate of solving crime was over 90
National statistics office that is responsible percent however this trend significantly
for publishing all data for public purpose. went down from mid-1990.
The content of published information on Table 2.Crime and crime clearance
crimes and criminal justiceby the National rate in Mongolia. (2004-2014)
statistics agency is too generalized Number
Number Rate per
therefore,official datadirectly taken from Year of 100.000
of Clearance
the statistics departments under police, cleared rate (%)
crimes population
crime
court, and correction services was applied
as reference in this research. It is limited 2004 18905 750 15472 81,8
to use national criminal justice relateddata 2005 17411 682 14576 83,7
collected by the National criminal justice 2006 18253 707 15203 83,2
components in Mongolia.In this analysis, 2007 21268 812 6092 28,6
the form of simple descriptive statistics 2008 20704 777 8147 39,3
such as frequencies, percentages, rates 2009 20373 750 12721 62,4
and rates of change were applied. Below 2010 19825 718 13466 67,9
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Before Creating a Law
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LAW REVIEW 2015 5(60)
Source: Court Statistic Report (CSR) 2004.This indicator became 201 in 2006,
The president of Mongolia, declining by 27 percent compared to 2005
ElbegdorjTsakhia, proposed to abolish and dropped till188 in 2009 reaching its
death penalty based on 8 provisions and lowest point. Between 2010 and 2012,
2 specific rationales on Jan 14, 2010 to prison population per 100,000 persons
the Parliament of Mongolia and it resulted steadily increased whereas it descended
to proclaim moratorium for death penalty between the year of 2013 and 2014. As
in Mongolia. By the first 4 months of 2010- per 2014 statistics, prison population per
2011, total of 14 inmates were sentenced 100,000 persons was 201 which is 19.1
to 30 years in a prison with the strictest percent lower than that of 2004.
control, who were pardoned by the
president of Mongolia according to Article Figure 1.Prison population in
15, provision 15.2 of Presidential law Mongolia (2004-2014)
(NHRCOM, 2012).
The government of Mongolia voted
for abolishing death penalty at the general
Assembly of UN on Nov 2, 2010 and the
Presidential office drafted 7 amendments
in the criminal code. The moratorium for
death penalty has not been legalized and
officially passed by the Parliament yet but
it has been avoided to be applied in judicial
practice.Due to punishment policy in new Source: National Correction Service (NCS)
criminal code enacted in 2002, there is no Table 5 shows prison population per
significant fluctuation on the imprisonment 100,000 persons in Mongolia including the
rate per 100,000 persons between 2004 rate of sentenced and remanded prisoners
and 2012. Although number of accused along with their genders. According to
individual is decreasing, it is relatively several clauses stated in the criminal
high percentage that 73.5 percent of total code, court has an authority to transfer
criminals has been imposed imprisonment, controlling responsibility to local police if
revealing that the punishmentpolicy is very the court ruled that the convicted person
strict in Mongolia. In the effective criminal does not have to be physically imprisoned.
code, 449 acts are considered as a crime, Study presents thatthe imprisonment rate
of which 330 crimes are determined to be per 100,000 persons was 101.4 or 44.6
imprisoned (Erdenebat, 2013).According percent out of total punishments(NCS,
to the criminal code, there are two ways to 2014).Number of new inmates coming
executing court decision on the accused to prison per 100,000 persons reached
person: imprisonment and probation. The its peak at 123.6 in 2005 followed by
figure 1 shows that the trend of execution 88 or 27.9 percent decline in 2006. This
of court decision. By the average of last indicator significantly escalated till 109.9
11 years, total of 6147 individuals were in 2007 which is 26.5 percent more than
imposed imprisonment, of which 2738 or the previous year. Since 2009, the rate
44.5 percent was given probation, 2750 is gradually going down. Rate of women
or 44.7 percent sent to prison while 659 inmate per 100,000 persons throughout
or 10.7 percent released from criminal all prison population was 12.8 or 6.2
liability according to the Pardon law(CSR, percent while rate of juvenile prisoners
2014). was 1.3 or o.6 percent out of total number
of prisoners. The rate of women inmate
Prison population in Mongolia per 100,000 persons peaked at 15.7
2004-2014. in 2010 whereas it reached its lowest
According to below line graph, prison point at 8.5 in 2007 followed by constant
population per 100,000 personsreached increase since 2008. The rate of juvenile
its peak in the last 10 years at 278 in 2005, inmates reduced to minimum at 0.1 in
which is 11 percent more than the that of 2006 and 2009 and reached the highest
24
Before Creating a Law
at 3.3 which is 2.5 times more than the Moreover, all 74 inmates being imprisoned
average rate of last 10 years. Inmates in juvenile prison were pardoned by the
released from prison per 100,000 persons law.
were averagely 140.0 or 12.1 percent Some researchers claim that
lower than the number of those coming increased number of prison population per
to prison. In contrast, this indicator rose 100,000 persons in 2007 and 2009 directly
till 196.6 or 183.3 percent more than correlates with the people released from
the number of new prisoners in 2006 prison by the pardon law committed crime
and 176.9 or 78 percent more in 2009. again and re-incarcerated. The main
Except for 2006 and 2009, the rate of new cause is because there is no rehabilitation
inmates was constantly higher than the program and/or environment to support
rate of released ones. the released people, which impacts them
Table 5. Prison population in to be involved in crime again (Nymgombo
Mongolia per 100.000 population. 2012). According to study, 48.3 percent
(2004-2014) of all prisoners were previously pardoned
Rate of prison Rate of sentenced Rate of female Rate of juvenile Rate of remand
Year
population prisoners prisoners prisoners prisoners
2004 250 116.6 11.0 3.0 137,0
2005 278 123.6 12.1 3.3 126,2
2006 201 88.0 10.3 0.1 196,6
2007 236 109.9 8.5 0.8 97,2
2008 227 113.9 12.3 1.3 126,4
2009 188 114.2 12.3 0.1 176,9
2010 215 92.9 15.7 0.7 73,7
2011 234 99.8 14.2 1.1 79,7
2012 240 94.8 14.3 1.6 98,4
2013 222 80.2 14.1 1.2 73,2
2014 201 81.5 14.9 1.3 68,9
Avg 205 101.4 12.8 1.3 114,0
25
LAW REVIEW 2015 5(60)
for last 11 years, averagely 29 women decreasing while it started rising year by
were released while 112 women were year from 2012 reaching its peak in 2014.
imprisoned per year (NCS, 2014). Low rate According to statistics, 20973 crimes
of juvenile inmates is linked with pending were reported to police and 13036 or
imprisonment for 2-5 years if juvenile is 63.1 percent out of the total number were
imposed imprisonment punishment and solved. Averagely, 19308 persons were
rehabilitation responsibility is transferred investigated as suspects per year and
to the inmates parentsand/or public 8359 or 43.9 percent out of that number
instead. Due to the mass release of were ruled as guilty and convicted by
juvenile inmates from prison in 2006 court. As for types of punishment per
and 2009 implementing the pardon law, 100,000 persons, 0.6 or 0.2 percent was
number of juvenile prison population imposed by death penalty, 226.2 or 73.5
was significantly low however it started percent by imprisonment, and 81.6 or
escalating since 2010. According to recent 26.4 percent by other punishments. This
study, juveniles who committed grave statistics reveals that the harsh sentencing
crime and/or re-committed other crimes policy influences to the increased number
are serving in prison now. of prison population.Also, decline in
VII. Discussion and conclusion imposing non-imprisonment punishments
The modern criminal justice system year to year manifests that there is a
recognizes the importance of rule of law, strong tendency forthe increased rate of
due process, protection of individual rights, imprisonment.
and judicial independence and all police Over 6000 prisoners are serving
officers are required to understand laws in 38 prisons, 26 detention centers. It
and due process pertinent to police work reveals that prison structure, its location,
through education and training (Yoon, management, and personnel, budget,
1998). The adoption of Mongolias new and equipment are scattered throughout
Constitution in 1992 marked the departure the country resulting in facing difficulty to
from 70 years of communismand laid the organize rehabilitation activities among
groundwork for a series of significant prisoners. Therefore, it is needed to
criminal justice related legislative and upgradeprotection technologies and to
institutionalreforms that have spanned the establish centralized prison systems
last two decades and are still continuing. in world standard and high qualified
But reforms have not systematically rehabilitation programs for inmates by the
addressed the long-term implications governments support.
of criminal justice system reform As for effective police law, juveniles
efforts, including the need for ongoing who imposed probation and commute
assessment and further development imprisonment punishment are controlled
of a comprehensive modernization by police. There is no specific organization
plan, adequate and sustained funding, designated to deal with people under
enhanced institutional capacity. Despite probation period and rehabilitation
the passage of significant legal reforms managements in order to prevent from
and considerable changes in criminal recommitting crime.In the conclusion it is
justice sector operations, especially in practically required as follows:
the courts and the police service, public First:to decrease the number of
trust in the rule of law is still not well types of crimes under the criminal code in
established; and critics often question Mongolia which imposes to imprisonment;
the capacities and fairness of the criminal Second: abolishing the death penalty
justice system. from the criminal code; Third:establishing
One of the important indicators of flexible legal regulationwhich encourages
criminal justice system performance is non-imprisonment punishment to
rate of crime and punishment related convicted people;Fourth:to develop
policy. Average crime rate per 100,000 effective parole system and juvenile
persons was 767 last 11 years. Since justice system in order to effectively
2007 the crime rate was constantly manage the juveniles under probation;
26
Before Creating a Law
27
LAW REVIEW 2015 5(60)
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28
Before Creating a Law
1
The Prison Service carries out custodial detention and sanctions
defined by law. The organization is also responsible for the after-
2
Roy Walmsley, Prisons In Central And Eastern Europe,
care following the release from prison and the tasks related to the HEUNI Paper No. 22, The European Institute For Crime
correctional probation services. The Prison Service is under the Prevention And Control, Affiliated With The United Na-
control of the Ministry of Interior and is an independent and armed tions Helsinki, 2005 (ISSN 1236-8245), pp. 303-3
law enforcement agency. 3
Ibid.
29
LAW REVIEW 2015 5(60)
Rules4 in 2006 and the Hungarian Prison Prisoners may move freely in determined
Code in 2009, many changes followed in areas within the parametersof the prison9;
Hungarian prison policies. These changes iii) High security prisons (Fegyhz), holding
aimed to improve prison conditions, prisoners serving life imprisonment;
though the implementation of the Prison for a sentence ofover three years for
Rules has been gradual and much work crimes against the state, terrorism,
remains. firearms, drugs, homicide,kidnapping,
The new Prison Code, part of the sexual assault, and other violent crimes.
ongoing comprehensive legal reform, Prisoners may move within theparameters
used the new criminal code. Act no. CCXL of the prison only with proper
of 2013 places great emphasis on the social authorization and under supervision.
integration of former prisoners in order Thismay be loosened exceptionally
to facilitate their successful participation after one year of imprisonment10.
in the lives of law-abiding communities Female prisoners are segregated from
after release5. male prisoners and adult prisoners are
segregatedfrom juvenile prisoners under
Organizational structure
21 years of age.Most of the prisons
The Hungarian prison system has were built in the second half of the 19th
been the responsibility of the Ministry century11.
of Interior since1963. The Director
Financial Management: The available
General (head of the National Prison
central funding is sufficient to ensure
Administration) is General MrAndrs
stable operation. The amended spending
Csti6. The senior management team
allowances on December 31(2014)
includes the first Deputy Director Major
called for 61,5% personnel and related
General Dr. Tams Tth, the Deputy
cost, 33,9% material cost, and only
Director General responsible for financial
the remaining 4,6% were dedicated
matters Major General Jzsef Lajtr
to other operational and savings cost.
and Deputy Director General, Security
The HPS used some of savings to make
and Incarceration Major General Jnos
investments and renovations during the
Schmehl7. The HPS Headquarters is
year, including security system upgrades,
based in Budapest.
guard station modernization, installing
General prison conditions new kitchen appliances, renovating cells
Hungary has three and upgrading electric networks12. In 2014
categories of security prisons: every eligible member of staff received
i) Minimum (Foghz), holding those under HUF 61,500 worth of clothing and uniform
18 years of age and prisoners authorized (12M law enforcement summer service
to be in atransition group towards the end boots, summer service jacket and tactical
of their sentence. Prisoners may move belt) and HUF 35,000 in cash as clothing
freely withinthe parameters of the prison8; allowance13.
ii) Medium (Brtn), holding the majority Prison population: Prisoners numbers
of prisoners on remand(Bv. Intzet) and increased at a slower rate than before.
those convicted of nonviolent crimes. Strict and medium regime sentences
continue to dominate; the increase in total
The European Prison Rules, which provide the benchmark prisoner numbers fell almost entirely into
4
30
Before Creating a Law
ADORJAN-TEX Ltd.,
Allampuszta Ltd.,
Annamajor Ltd.,
BUFA Ltd.,
DUNA-MIX Ltd.,
DUNA-PAPIR Ltd.,
On 2015, 17,796 individuals were Ipoly Ltd.,
incarcerated in Hungary (nearly as the Nagyfa-Alfold Ltd.,
same as from the previous year). Hungary
has an overall incarceration rate of 128 Nostra Ltd.,
per100,000 population, compared with Palhalma Agrospecial Ltd.,
a rate of 149 per 100,000 population for Sopronkohida Ltd.
England and Wales, 143 for Australia,
Prison establishments are headed
142 for Spain, 81 for Germany, and 57
by prison governors. They are tied
per 100,000 population for Sweden15.
to the Headquarters through service
While Hungary does not have the highest
agreements. According to the rules, all
imprisonment rate in Europe, these
prisoners would have at least3.5m of
figures have been on the decline over the
space. This increase in planned space
course of the past decade.
per prisoner brought the Hungarian
Accommodation and overcrowding prison system closer to the 4m which
There are 27 prisons, Headquarter is regarded as the minimumacceptable
(HQ) and 6 affiliated institutions to Prison by the European Committee for the
Service Headquarters16: Prevention of Torture (CPT) but, having
Training Center of the Prison been accompanied by an increase in the
Service, National University of Public prisonpopulation, has drawn attention
to the degree of overcrowding in the system
Service, Faculty of Law Enforcement,
(Figure 2).
Penitentiary Department.
Very few prisoners arehoused alone
Further Training and Conference in single cells. Some of new institutions,
Center of the Prison Service. such as the prison section for the life
Central Hospital of the Prison sentenced prisoners follow a policy of
Service, Forensic Psychiatric Mental locating a prisoner in a cell19.
Institution. The prison service provides the
The Museum of the Hungarian toilet paper20. Everyprisoner is able to
have a bath or shower at least once a
Prison Service.
week; those in work canshower every
In addition to these institutions, the day21. Women and juveniles are also able
set of public (prison) limited companies17 to shower every day22. Pretrial detainees
are operating under the control of Prison are given the opportunity of wearing their
Service HQ18: own clothing if it isclean and suitable;
BV Holdings Kft., sentenced prisoners must wear a prison
uniform but may usetheir own underwear
15
Annual Report 2014, pp. 88-108
16
REVIEW OF HUNGARIAN PRISON STATISTICS, The
19
Roy Walmsley, Prisons In Central And Eastern Europe,
Hungarian Prison Service Headquarters, ISSN 2416-1233, HEUNI Paper No. 22, Prisons In Central And Eastern Eu-
2016, pp.3-26 rope, The European Institute For Crime Prevention And
Control, Affiliated With The United Nations Helsinki, 2005
17
Prison limited companies are 100% state owned compa- (ISSN 1236-8245), pp. 303-3
nies, serving outstanding social and public safety interests.
The goal of the companies is to use the resources efficiently
20
The report on the visit of the Hungarian penal institutions
and even strive towards profit oriented operation in a hold- (The information was obtained during the visit of Hungari-
ing structure. an prisons by author in 2015-2016)
18
Annual Report 2014, pp. 88-108
21
Ibid.
22
Ibid.
31
LAW REVIEW 2015 5(60)
and take responsibility for washing it23. prisons budget and from public
YEARLY AVERAGE healthinsurance27. An outside hospital is
OVERCROWDING (%) used if the prison hospital does not have
the specialistrequired. There is also a
forensic psychiatric unit (IMEI) within the
grounds ofBudapest Central Prison which
is used for neurological and psychiatric
treatment and for the observation of those
suspected of being mentally ill.
HIV testing is compulsory in
Hungarianprisons and is part of Ministry
of Health regulations. It forms part of
the processof medical examination on
Figure 2 admission28. The National Ambulance
The average of these indexes is Emergency Service offered emergency
128%,which is a significant decrease care when it was needed. The HPS
(the average overcrowding was 141% also organize preventive measures like
for 2014)24.The overcrowding of prisons screenings, vaccines and protective gear29.
is mainly caused by the changes
in criminal law and the changesin Discipline and punishment
capacity (restructuring institutions
and establishing new places). During The least serious disciplinary
the last year asignificant expansion of sanction is a caution and the most serious
900 capacities took place (e.g. Middle- is solitary confinement.In maximum
Transdanubium NationalPrison security regimes, solitary confinementmay
(Martonvsr), Szombathely National be for up to 30 days, in medium security
Prison, Budapest Strict and Medium up to 20 days and in minimumsecurity
RegimePrison) and furthermore a plan up to 10 days. During this time they
has been accepted to build until 2019 one cannot receive or send parcels,cannot
prison holding 1000inmates and 8 prisons have visitors, cannot buy any items for
holding 500 inmates each and furthermore themselves, and cannot use theprisons
a prison hospital25. cultural or sport facilities either30. As part
of ongoing IT application development
Food and medical services project, an integrated criminal and
The prison authorities have disciplinary record subsystem (module)
assured us that the food they provide is was created under our updated and
a balanced dietsupplying the necessary extended human resource records31.
daily nutritional requirements26. The
quality and quantity of food is regarded
by the head of the health care department Contact with the outside world
as at least equal to average standards The legislation only states that visits,
in communal catering outside,with the both to pre-trial detainees andsentenced
variety and quantity often being superior. prisoners, shall be at least once a month,
Prison health care isfunded
from two sources: from the central 27
Roy Walmsley, Prisons In Central And Eastern Europe,
23
Ibid. HEUNI Paper No. 22, Prisons In Central And Eastern Eu-
rope, The European Institute For Crime Prevention And
24
REVIEW OF HUNGARIAN PRISON STATISTICS, The Control, Affiliated With The United Nations Helsinki, 2005
Hungarian Prison Service Headquarters, ISSN 2416-1233, (ISSN 1236-8245), pp. 303-3
2016, pp.3-26 28
Ibid.
25
REVIEW OF HUNGARIAN PRISON STATISTICS, The
Hungarian Prison Service Headquarters, ISSN 2416-1233,
29
Annual Report 2014, pp. 88-108
2016, pp.3-26 30
The report on the visit of the Hungarian penal institutions
26
The report on the visit of the Hungarian penal institutions (The information was obtained during the visit of Hungari-
(The information was obtained during the visit of Hungari- an prisons by author in 2015-2016).
an prisons by author in 2015-2016). 31
Annual Report 2014, pp. 88-108
32
Before Creating a Law
33
LAW REVIEW 2015 5(60)
youngest staff member is 19, and the is a special programme for providing
oldest is 71years old. The majority of assistance in findingwork46. Long-term
the staff belongs to the categories of 36- prisoners are prepared for release during
40 and 41-45 years of age,altogether they the last two years oftheir sentence47.
make up almost half of the staff (more They are placed in groups giving them
than 46%). The two ends of thespectrum more independence andthe possibility of
proportioned by age groups are the under leaving the prison to find employment48.
25 years of age (5.56%) and the above Non-governmental organizations are also
50years of age (adding up to more than reportedto play an important part in pre-
10% when aggregated). release preparation.
Treatment and regime activities Prison Enterprises and Central
The prison administration points Procurement: Industrial enterprises are
out that following the political changes in greatly affected by central procurement,
1990the prison system ceased to attempt which is a way for the government to
to change the prisoners but wanted regulate demand for the products in
rather togive them the opportunity to order to support prisoner employment.
change. This is seen as a long process that Agricultural enterprises have a stable
willdevelop gradually.Each sentenced operational background due to the
prisoner becomes part of an educators reliable sectoral structures and subsidies
group, the educatorbeing responsible in place. The enterprises participated in
for the prisoners welfare, progress and government programs under the Ministry
activities. Sentenced prisoners spend 8 or of the Interior by delegating experts and
9 hours out of their cell or room if they providing support to various programs
havework; otherwise it is 4 or 5 hours on like the START program, public worker
average45. Pre-trial prisoners are reported employment in a sewing factory, and
tohave one hour exercise but no additional document shredding49.
time out of their cells.
For social and psychological PRISONER EMPLOYMENT
problems it is sometimes possible to STATISTICS50
makeuse of social workers, psychologists Table1
or priests.Sixmonths before release the
Average of prisoners
number employed
(capita) 2012 2013 2014 2015
Employment by the prison ltd. companies 3,570 3,753 4,137 4,405
Of which employed in industrial prison 1,653 1,846 2,082 2,334
ltd. companies:
Of which employed in agricultural prison 1,917 1,907 2,055 2,071
ltd. companies:
Penitentiary employment 2,430 2,765 2,741 2,963
PPP employment 781 723 684 672
Total: 6,781 7,241 7,562 8,040
34
Before Creating a Law
35
LAW REVIEW 2015 5(60)
36
Before Creating a Law
Schooling indicators
Academic Elementary school Secondary school Vocational training High school Total
year
Capita (%) Capita (%) Capita (%) Capita (%)
2010/2011 1,020 42.50 878 36.58 479 19.96 23 0.96 2,400
Table 3
2010 2015
Schooling Indicators
(%)
Total Male Female Total Male Female
Illiterate 1.02 0.88 2.93 0.74 0.63 2.14
Less than 8 grade 27.48 27.21 30.5 11.63 11.19 17.25
Elementary 46.28 46.41 44.42 58.32 58.58 55.11
Vocational 14.94 15.52 6.61 16.13 16.87 6.64
General Certificate of
Secondary Education
(GSCE) 7.71 7.56 9.71 9.57 9.34 12.37
University/College 2.57 2.4 4.81 2.50 2.31 4.89
N.a. 0 0 0 1.12 1.08 1.60
Table 4
recommendations and theprison is given
a copy indicating the changes that must
Inspection and monitoring 68
be made.
The prison administration organizes
The third typeof inspection
three kinds of inspection. One-third
is known as target control where
of theprisons are inspected each year,
prisons are visited in order to
involving all departments and sections of
see if they have carried out the
eachestablishment.
recommendations of the inspection or the
Second, there are thematic reviews, thematic review.
for example on health carein all prisons.
Ensuring that penal institutions
In both cases a report is produced with
function within the law is the
responsibilityof the Office of the Public
67
REVIEW OF HUNGARIAN PRISON STATISTICS, The
Hungarian Prison Service Headquarters, ISSN 2416-1233,
Prosecutor.
2016, pp.3-26 Another source of independent
inspection is the Parliamentary
68
The report on the visit of the Hungarian penal institutions
(The information was obtained during the visit of Hungari-
Commissioner for Human Rights, the
an prisons by author in 2015-2016). Ombudsman. Cases dealt with by the
37
LAW REVIEW 2015 5(60)
38
Before Creating a Law
39
LAW REVIEW 2015 5(60)
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40
Before Creating a Law
1
Zur Diskussion und zur Vereinigungstheorie siehe nheres
2
Meier, 2006, S. 21 ff.; zur empirischen Sanktionsforschung
Meier, 2006, S.33ff.; Jescheck & Weigend, 1996, 8 V; und der Begrndbarkeit von Kriminalpolitik siehe Albrecht,
Roxin, 2006, 3, Rn. 33 ff.; aus der Sicht des BVerfG grun- H.-J., Dnkel, F. & Spie, G., 1981, S. 310 ff.
dlegend: BVerfGE, 45, 187, 253 ff. 3
BVerfGE, 45, 187 ff., Rn. 219.
41
LAW REVIEW 2015 5(60)
42
Before Creating a Law
43
LAW REVIEW 2015 5(60)
die Entlassung aus dem Straf- und Palette fhrten. Theoretisch sind die
Maregelvollzug verschrft und die Strafen, deren Bezugspunkte eine in
Mglichkeiten zur Anordnung von der Vergangenheit liegende Tat und
Sicherungsverwahrung fr bestimmte die Schuld des Tters sind, und die
Ttergruppen erweitert (57 Abs.1, 66 Maregeln zur Besserung und Sicherung,
Abs. 3, 67d Abs. 2 StGB). die sich an der Gefhrlichkeit des Tters
Das am 26.01.1998 erlassene 6. orientieren und zukunftsgerichtet sind,
StrRG hatte die Harmonisierung der zu unterscheiden. Daneben kennt das
Strafrahmen zum Ziel. Der Gesetzgeber, Gesetz weitere Sanktionen eigener Art,
dem es vor allem um die Beseitigung die zwischen den Strafen und Maregeln
von Wertungswidersprchen der Besserung sowie Sicherung
ging, nahm die angestrebte stehen und Nebenfolgen genannt
Harmonisierung durch Verschrfung der bzw. zu den Manahmen gerechnet
Strafdrohungen und Vermehrung von werden. Auerdem gibt es weitere
Qualifikationstatbestnden vor. sogenannte verschonende Sanktionen:
Durch das Ende Dezember 2006 Strafaussetzung zur Bewhrung,
in Kraft getretene Zweite Gesetz zur Verwarnung mit Strafvorbehalt, Absehen
Modernisierung der Justiz wurde die von Strafe und Einstellung des Verfahrens
Verwarnung mit Strafvorbehalt mit nach 153 ff. StPO.
dem Ziel einer hufigeren Anwendung Im Bereich der Strafen differenziert
moderat erweitert. das Gesetz zwischen Haupt- und
Die Vermgensstrafe gem 43a Nebenstrafen. Die Hauptstrafe besteht
StGB kann nicht mehr verhngt werden, aus zwei Arten von Strafen, nmlich
weil die Vorschrift wegen Verstoes gegen die Geldstrafe und die Freiheitsstrafe,
das Bestimmtheitsgebot des Art.103IIGG whrend als Nebenstrafe nur das
verfassungswidrig und daher nichtig ist12. Fahrverbot vorgesehen ist. Im folgenden
Sie war in gesetzlich bestimmten Fllen werden die Sanktionsarten im deutschen
schwerer Kriminalitt, insbesondere bei Strafrecht sehr knapp wiedergegeben,
Delikten der organisierten Kriminalitt, um einen kurzen berblick zu geben,
neben lebenslanger oder zeitiger denn es ist nicht Gegenstand dieser
Freiheitsstrafe von mehr als 2 Jahren Arbeit das deutsche Sanktionensystem
zugelassen. Die Vermgensstrafe war eine zu analysieren und zu beurteilen.
Geldsummenstrafe, deren Hhe durch Die bersicht wird bentigt, um
den Wert des Vermgens des Tters, das eine Beurteilung des mongolischen
geschtzt werden kann, begrenzt war. strafrechtlichen Sanktionensystems aus
1.3 Das gegenwrtige der Perspektive des deutschen Strafrechts
Sanktionensystem im deutschen zu ermglichen.
Strafrecht 1.3.1 Die Geldstrafe
Im Laufe der Geschichte hat sich das Im Bereich der kleinen und mittleren
deutsche strafrechtliche Sanktionensystem Kriminalitt kommt der Geldstrafe
immer weiter ausdifferenziert und die grundstzlich der Vorrang zu. Sie wird
Strafdauer und -hrte sind allmhlich sehr nach einem sogenannten Tagessatzsystem
zurckgegangen. Heutzutage werden auf verhngt13. Zunchst wird die Anzahl
sehr unterschiedliche Weise Verste der Tagesstze bestimmt, die zwischen
gegen das Strafrecht sanktioniert. Das fnf und in der Regel maximal 360
gegenwrtige deutsche strafrechtliche Tagesstzen umfassen knnen ( 40
Sanktionensystem stellt eine Reihe von Abs. 1 StGB). Bei einer Gesamtstrafe
verschiedenen Reaktionsmitteln als sind jedoch 720 Tagesstze mglich ( 54
Rechtsfolgen der Straftat zur Verfgung. Abs. 2 Satz 2 StGB). Mit dieser Anzahl
Hier haben die o.g. Gesetze zur Reform sollen das Unrecht und die Schuld des
des Strafrechts einige erhebliche Tters zum Ausdruck gebracht werden,
Vernderungen gebracht, die zu einer unabhngig von dessen wirtschaftlichen
Erweiterung der sanktionsrechtlichen Verhltnissen. Diese werden erst bei
12
BVerfG, NJW 2002, 1779. 13
Siehe dazu nheres Albrecht, H.-J., 2005, S. 1354 ff.
44
Before Creating a Law
der Hhe des Tagessatzes (von 1 bis soll dem Tter die Mglichkeit erffnen, im
30000Euro) bercksichtigt, wobei man Vollzug die fr ein Leben ohne Straftaten
in der Regel vom Nettoeinkommen erforderlichen Voraussetzungen zu
ausgeht, das der Tter durchschnittlich erwerben, sie soll abschrecken, sie
an einem Tag hat oder haben knnte. Der soll die Gesellschaft durch die sichere
grte Nachteil der Geldstrafe, nmlich Unterbringung des Verurteilten schtzen
die ungleichmige Wirkung auf Arm und sie soll das durch die Tat erschtterte
und Reich, wird dadurch einigermaen Vertrauen der Allgemeinheit in die
ausgeglichen und damit soll in dieser Bestands- und Durchsetzungskraft des
Hinsicht eine grere Gerechtigkeit Rechts wiederherstellen14.
erreicht werden. Es werden hohe Sowohl in der Wirklichkeit als auch
Geldstrafen ermglicht, welche den im Rahmen der Kriminalpolitik werden
Tter zum Konsumverzicht zwingen. positive Wirkungen der Bestrafung
Dafr werden auch Mglichkeiten der fr den Tter weniger als die Regel,
Zahlungserleichterung in Form von sondern eher als Ausnahme betrachtet.
Stundung oder Ratenzahlung gem 42 Repressive Formen der Sanktionierung
StGB geboten. Zahlungserleichterungen werden angesichts zahlreicher
knnen auch dann gewhrt werden, wenn schdlicher Neben- und Folgewirkungen
ohne sie die Schadenswiedergutmachung fr die Betroffenen insbesondere beim
durch den Verurteilten erheblich Vollzug einer Freiheitsstrafe in Frage
gefhrdet wre. gestellt. Aus kriminalpolitischer Sicht
An die Stelle einer uneinbringlichen haftet der Freiheitsstrafe dabei eigene
Geldstrafe tritt die Ersatzfreiheitsstrafe Problematik an. Hufig wirkt der Vollzug
(43 StGB). Ein Tag Freiheitsstrafe einer Freiheitsstrafe negativ auf die
entspricht einem Tagessatz. Da die Lebensumstnde des Verurteilten. Fr
Geldstrafe in Tagesstzen verhngt die Begrenzung der Eingriffsintensitt
wird, ist die Anrechnung der sprechen sowohl humanitre als
Ersatzfreiheitsstrafe sehr simpel. Die auch rationale, an Effizienzkriterien
Vollstreckung der Ersatzfreiheitsstrafe orientierte Erwgungen15. Um die
kann nach geltendem Recht nicht mit ihr einhergehenden Gefahren
ausgesetzt werden. Die Vollstreckung fr die soziale Reintegration des
dieser Ersatzfreiheitsstrafe kann jedoch Verurteilten anzumildern, hat der
dann unterbleiben, wenn das Gericht deutsche Gesetzgeber versucht, den
dies wegen einer unbilligen Hrte fr Anwendungsbereich der Freiheitsstrafe
den Verurteilten anordnet (459f. StPO). auf unterschiedlichen Ebenen
Ist der Verurteilte einverstanden, so einzugrenzen und deutlich zu machen,
kann er anstelle der Ersatzfreiheitsstrafe dass die Freiheitsstrafe nur als ultima
gemeinntzige Arbeit leisten und auf ratio des Strafensystems in Betracht
diese Weise die Geldstrafe tilgen ( 293 kommt. So hat sich in Deutschland in
EGStGB). den Jahren zwischen 1882 und 2005 das
1.3.2 Die Freiheitsstrafe Verhltnis von verhngten Freiheitsstrafen
Die Freiheitsstrafe ist die hrteste und Geldstrafen im Ergebnis umgekehrt.
Strafe, die das deutsche Sanktionensystem 1882 waren noch 76,8% aller verhngten
von heute kennt. Sie kann entweder Strafen Freiheitsstrafen und 22,2%
als zeitige oder als lebenslange Geldstrafen. 2007 waren dagegen 69,6%
Freiheitsstrafe verhngt werden. In der aller verhngten Strafen Geldstrafen und
kriminalpolitischen Diskussion wird lediglich 8,3% Freiheitsstrafen16.
meist davon ausgegangen, dass sich mit Das Hchstma der zeitigen
dieser am tiefsten in die Rechtsstellung Freiheitsstrafe betrgt fnfzehn Jahre,
des Verurteilten eingreifenden Strafart ihr Mindestma einen Monat ( 38.2
das gesamt Spektrum der in Betracht StGB). Die lebenslange Freiheitsstrafe
kommenden Strafzwecke abdecken lsst. 14
Meier, B.D. 2006, S. 79 ff.
Die Freiheitsstrafe soll Vergeltung fr die 15
Albrecht, H.-J., Dnkel, F. & Spie, G., 1981, S. 323.
Tat ben und die Shne ermglichen, sie 16
Heinz. W., 2007, S. 40 ff.
45
LAW REVIEW 2015 5(60)
ist insbesondere fr Mord oder und 1969 sowie 1986 stark erweiterten
Vlkermord angedroht. Frher bedeutete Sanktionsoption besteht in der Frderung
lebenslang bis zum Lebensende, was des Strafzwecks der Spezialprvention.
heute jedoch anders definiert wird. Das Bei Strafaussetzung zur Bewhrung wird
Bundesverfassungsgericht hat 1977 die eine Bewhrungszeit zwischen zwei
Dauer der lebenslangen Freiheitsstrafe und fnf Jahren festgesetzt ( 56a StGB),
begrenzt17: Der Gesetzgeber wurde wobei diese Dauer nachtrglich vor ihrem
verfassungsrechtlich gezwungen, auch Ablauf bis auf das Hchstma verlngert
dem zu lebenslanger Freiheitsstrafe oder bis auf das gesetzliche Mindestma
Verurteilten eine Chance auf verkrzt werden kann.
Wiedereingliederung in die Freiheit Im Bereich der leichteren und
und in die Gesellschaft zu ermglichen. mittleren Kriminalitt (bis zu 2 Jahren
Er msse die Mglichkeit haben, je Freiheitsstrafe), in denen dies mit
wieder der Freiheit teilhaftig zu werden. den Strafzwecken vereinbar ist, kann
Die Mglichkeit einer Begnadigung dem Verurteilten aus dem Grund
allein sei nicht ausreichend. Der der Vermeidung von Desintegration
Gesetzgeber ist 1981 mit dem Erlass die Strafaussetzung zur Bewhrung
eines neuen Paragraphen im StGB angeordnet werden (56StGB). Darber
diesem Urteilsspruch nachgekommen: hinaus zielt der deutsche Gesetzgeber
Ein Gericht kann die Vollstreckung des darauf ab, in geeigneten Fllen an die
Restes einer lebenslangen Freiheitsstrafe Stelle des Strafvollzugs eine Form der
nun unter bestimmten Voraussetzungen ambulanten Sanktionierung treten zu
zur Bewhrung aussetzen, wenn 15 Jahre lassen, die dem Tter einerseits Hilfe
der Strafe verbt sind18. und Untersttzung bei der Bewltigung
Das deutsche Jugendstrafrecht kennt von Problemlagen gewhrt, und ihn
keine lebenslange Freiheitsstrafe. Das andererseits mit dem Druck des drohenden
Hchstma einer Jugendstrafe betrgt Widerrufs dazu zwingt, knftig ein
fr Heranwachsende 15 Jahre ( 105 III straffreies Leben zu fhren20. So kann
2 JGG). Wenn fr Heranwachsende das das Gericht dem Verurteilten bestimmte
allgemeine Strafrecht angewandt wird, Auflagen und Weisungen anordnen,
kann das Gericht anstelle von lebenslanger denen nachzukommen er verpflichtet
Freiheitsstrafe eine zeitige Strafe bis zu 15 ist ( 56b, 56c ff. StGB). Auflagen wie
Jahren verhngen (106IJGG). z.B. eine Schadenswiedergutmachung,
Weitere Differenzierungen ergeben die Zahlung eines Geldbetrages an
sich daraus, dass die Freiheitsstrafe nicht eine gemeinntzige Einrichtung oder
zwingend vollstreckt zu werden braucht. zugunsten der Staatskasse, dienen der
Die Vollstreckung kann entweder Genugtuung fr das begangene Unrecht
bereits im Urteil oder nach Verbung ( 56b Abs. 1 Satz 1 StGB). Mit dieser
einer bestimmten Mindestdauer zur Festlegung knpft der Gesetzgeber an die
Bewhrung ausgesetzt werden. Schuldausgleichs-Funktion der Strafe an.
1.3.3 Strafaussetzung zur Bewhrung Weisungen, wie z.B. die Unterstellung
Im deutschen strafrechtlichen unter die Aufsicht und Leitung eines
Sanktionensystem ist die Bewhrungshelfers, Anordnungen
Bewhrungsstrafe eine Form der Reaktion zu befolgen, die sich auf Aufenthalt,
nicht freiheitsentziehender Art19. Das Ausbildung, Arbeit oder Freizeit oder
kriminalpolitische Ziel dieser durch das auf die Ordnung seiner wirtschaftlichen
3. StrndG im Jahr 1953 eingefhrten Verhltnisse beziehen, bestimmte
Gegenstnde nicht zu besitzen, die
17
BVerfGE 45, 187, 222 ff. Vgl. hierzu auch BVerfG NStZ
1996, S. 614.
Gelegenheit oder Anreiz zu weiteren
18
Die Voraussetzungen sind in 57a Abs. 1 Nr. 13 dStGB
Straftaten bieten knnen, dienen
festgelegt. ausschlielich dem Zweck, Straftaten
19
Albrecht, H.-J. Rechtsvergleichendes Gutachten, in: Ab- des Verurteilten in Zukunft zu verhten.
schlussbericht der Kommission zur Reform des strafrecht- Kommt der Verurteilte den ihm erteilten
lichen Sanktionensystem, 2000, S. 20; zur historischen En-
twicklung genauer Dnkel, F., 1983, S. 1039 ff. 20
Meier, B.D., 2006, S. 99 ff.
46
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47
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31
In 1923 wurde das Jugendgerichtsgesetz verabschiedet Dies wird in der Literatur mit einem
und damit wurde erstmals in Deutschland ein Sonderstra- gewissen Stolz wie folgt beschrieben: In
frecht fr jugendliche Straftter geschaffen. Siehe dazu aus-
fhrlicher Heinz, 2007, S. 25 ff. 34
Vgl. dazu Albrecht, H.-J., 2004, S. 20-25.
32
Vergleiche hierzu BMJ [Hrsg.]: Jugendstrafrechtsreform 35
Zur Entwicklung der Sanktionierungspraxis in Deutsch-
durch die Praxis, Bonn 1989; Albrecht, H.-J. & Hotter, I. land und des deutschen strafrechtlichen Sanktionensystems
(2003), S. 282 ff. ausfhrlicher Heinz, 2007, S. 40 ff.;
33
Zur Sanktionen und Sanktionierungspraxis im Jugend- 36
Quelle: Strafverfolgungsstatistik 2013, Statistischen
strafrecht detailierter in Heinz, 2006. Bundesamt, Wiesbaden, Tab. 2.3.
50
Before Creating a Law
EU (AEUV).
37
Jescheck, 1992, Einleitung, Rndr. 93. 40
BverfGE 74.358, 370; 111.307, 323 f.; BGHSt 45.321, 329;
38
Siehe nheres zu der Sanktionierungspraxis Jehle 2015, 46.178, 186; siehe allgemein ber die Sanktionen in Europa
S. 32 ff.; zur Perspektiven kriminologischer Forschung Al- Albrecht, H.-J., 1999, S. 382 ff.
brecht, H.-J. (2007), S. 177 ff. 41
BverfGE 111. 307, 323.
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Mongolei whlte, wie oben erwhnt, aus u.a. auf die Grundrechte des Einzelnen und
berzeugung das rmisch-germanische auf die Verhltnismigkeit der Reaktion
Recht zum Vorbild. des Staats groen Wert aufgelegt wird.
Es gab auch in Deutschland Zeiten, in Die Mongolei strebt danach, sich diese
denen zu hohe Zielsetzungen im Rahmen Werte und Wertschtzungen anzueignen.
der Kriminalpolitik angestrebt wurden. Dies ist u.a. auch bei der Kriminalpolitik
Dies hat sich allmhlich verndert. zu sehen. Im Folgenden wird nun
Insbesondere die Strafrechtsreformen eine Beurteilung des mongolischen
nach den 1960er und 1970er Jahren strafrechtlichen Sanktionensystems im
haben eine Wende im Strafrecht bewirkt. Vergleich mit dem deutschen Strafrecht
Im Rahmen dieser Strafrechtsreformen sowohl aus kriminalpolitischer Sicht
wurden die Zwecke der strafrechtlichen als auch von der Sanktionsstruktur her
Sanktionen neu definiert sowie die erfolgen.
Modalitten einzelner Strafen erweitert 2.1 Aus der kriminalpolitischen
und besser differenziert. Dies lsst sich Sicht
insbesondere bei Hauptstrafen und ebenso In der Mongolei ist die vor etwa
bei weiteren Rechtsfolgen beobachten. zwei Jahrzehnten in Angriff genommene
Es gibt hier viele gute Erfahrungen, von Reformarbeit in ihren wesentlichen
denen auch die Mongolen lernen knnten. Teilen erfolgreich abgeschlossen.
Die in dieser Zeit bereits am Die Anpassungsgesetze an das
hufigsten angewandte Geldstrafe blieb demokratische Grundgesetz von 1992, das
nicht nur die am meisten praktizierte Strafrechtsreformgesetz von 2002 und das
Strafe im deutschen Sanktionenrecht, sechs Jahre spter eingefhrte Gesetz zur
sondern wurde bis zur Gegenwart sogar nderung und Ergnzung zum StGB vom
noch weiter ausgebaut. Die Wirkungen 01.02.2008, welche die kriminalpolitischen
der Geldstrafe sind weitaus hher als in Grundentscheidungen und die
der Mongolei. Der Erfolg der deutschen Ausgestaltung des Sanktionensystems
Geldstrafenpolitik liegt nicht daran, dass der heutigen Mongolei ausformen,
die in Deutschland verurteilten Tter im lassen groe Fortschritte im Bereich
Vergleich zur Mongolei in einer relativ der Strafrechtsordnung erkennen
besseren wirtschaftlichen Lage sind. Es und wurden dafr wertgeschtzt,
hngt vor allem damit zusammen, weil die Grundvoraussetzungen fr
die Regeln der Geldstrafe des deutschen ein modernes und rechtsstaatlich
Tagessatzsystems in einem sehr groen orientiertes Strafjustizsystem geschaffen
Bereich eine genaue Anpassung an die zu haben. Andererseits stt das
individuelle finanzielle Leistungsfhigkeit Strafrechtsreformgesetz von 2002 im
des Tters ermglichen, die selbst dann Hinblick auf die Hrte seiner Strafen
noch funktioniert, wenn diese Fhigkeit auf scharfe Kritik. Mehrfach wurde das
fast gegen Null geht. Der entscheidende strafrechtliche Sanktionensystem in
Vorteil des Tagessatzsystems ist seine ffentlichen Diskussionen zur Zielscheibe
fast beliebige Skalierbarkeit. Die der Kritik.
mageschneiderte Belastung des Um eine Bewertung ber
Tters erleichtert nicht nur sehr die das mongolische strafrechtliche
Vollstreckbarkeit, sondern vermeidet auch Sanktionensystem aus der Sicht des
weitgehend soziale Ungerechtigkeiten. deutschen Strafrechts machen zu
Nicht zuletzt spielt die Tatsache knnen, mchte ich zunchst zeigen,
eine ganz wichtige Rolle, dass der von welcher Grundeinstellung ber
deutsche Gesetzgeber die Anwendung die strafrechtliche Sozialkontrolle das
der Freiheitsstrafe als ultima ratio deutsche Strafrecht ausgeht, um deutlich
vorschreibt und dies auch von Gerichten zu machen, aus welcher Perspektive das
dementsprechend in Gebrauch gemacht Sanktionensystem des mongolischen
wird. Strafrechts hier bewertet wird.
Das deutsche Strafrecht basiert auf Kriminalpolitik umfasst die
die rechtsstaatlichen Prinzipien, bei denen Festlegung des Bereichs des Strafbaren
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LAW REVIEW 2015 5(60)
und die Bestimmung der staatlichen Wirksamkeit der Strafrechtspflege nicht so sehr
Reaktion auf strafbares Verhalten. Dies in dem statistischen Nachweis von Erfolgen
ist in Deutschland in den strafrechtlichen bei der Resozialisierung von Strafttern
Haupt- und Nebengesetzen im gesehen, als vielmehr in einer Ausgestaltung
StGB festgelegt. Die Auffassungen der gesamten kriminalrechtlichen Ttigkeiten
hinsichtlich der verfassungsrechtlichen des Staates, die sich mit dem geschrften
und menschenrechtlichen Grenzen des sozialen Gewissen unserer Zeit vereinbaren
Strafrechts, bzw. die Ziele, Mglichkeiten lsst.44
und Grenzen der strafrechtlichen Man kann mit einem Satz sagen, dass
Sozialkontrolle haben sich in Deutschland eine solche wie von Jescheck formulierte
grundlegend gewandelt. Ansicht bzw. Grundeinstellung in
Wie im Folgenden hat Jescheck der mongolischen Kriminalpolitik im
diesen Wandel ganz deutlich beschrieben: Allgemeinen fehlt, woraus alle anderen
Die Erkenntnis, dass das Strafrecht nur ein Grundprobleme entstehen. Dies ist ein
Mittel der sozialen Kontrolle neben anderen grundstzlicher allgemeiner Unterschied
ist und wegen der mit seiner Anwendung zwischen beiden Rechtssystemen.
verbundenen tiefen Eingriffe in Freiheit, Im deutschen wie im mongolischen
Ansehen und Einkommen der Betroffenen und Strafrecht ist die Schuld als
wegen der daraus folgenden sozialen Nachteile Voraussetzung der Strafe anerkannt. Bei
mglichst sparsam verwendet werden sollte, der Sanktionszumessung spielt das Ma
hat sich weitgehend durchgesetzt. Zugleich ist der Schuld eine besondere Rolle. Es
durch die vielfltigen ideologischen Angriffe fehlt jedoch im mongolischen Strafrecht
auf alle repressiven Institutionen des Staates sowohl auf theoretischer als auch auf
als Gegeneffekt die berzeugung gewachsen, gesetzlicher Ebene an der grundstzlichen
dass nur ein am Schuldprinzip orientiertes Einsicht, dass die Strafbemessung sich
Strafrecht den Schutz der Allgemeinheit in nach der Schuld des Tters richten soll.
Freiheit ermglicht, weil allein ein solches Der Tenor der Bestrafung ist jedoch, dass
Recht den Menschen als verantwortlichen die unrechte Handlung eines Straftters
Mitbrger betrachtet, indem es durch mit Strafe auszugleichen ist (Vergeltung).
Gebot und Sanktion an seine Einsicht und Die Aufgabe des Strafrechts erschpft
seine Disziplin appelliert, aber damit auch sich jedoch nicht im Ausgleich von
Ernst macht. Auch die Notwendigkeit Schuld, sondern geht darber hinaus.
der Beschrnkung des Strafrechts durch Das bergreifende Ziel ist vielmehr die
die Grundstze des Rechtsstaats und die kontrollierte Wiederherstellung und
Erkenntnis, dass nicht alles, was fr die Sicherung der durch die Tat gestrten
Behandlung von Rechtsbrechern zweckmig Ordnung bzw. die Prvention45.
erscheint, auch gerecht ist, sind heute 2.2 Betrachtung der
Allgemeingut geworden. Allmhlich beginnt Sanktionsstruktur
man ferner zu verstehen, dass die Humanitt In der Grundstruktur hnelt
als Grundlage der Kriminalpolitik nicht das mongolische Sanktionensystem
nur eine Angelegenheit des Idealismus von dem deutschen. Im groben ist das
Einzelnen ist, die sich dieser Sache aus Entwicklungsstadium des mongolischen
Mitgefhl annehmen, sondern auch eine Strafrechts in vieler Hinsicht mit dem
Frage der Mitverantwortung der Gesellschaft Stand des deutschen Strafrechts der 1960er
fr die Kriminalitt, und dass die Sorge um und 1970er Jahre zu vergleichen. Obwohl
den Rechtsbrecher nicht eine Gnade, sondern sich die Ausgestaltung des modernen
ein verbindlicher Auftrag des Sozialstaats ist. strafrechtlichen Sanktionensystems der
Endlich wird die Strafrechtspflege selbst viel Mongolei bereits ber einen Zeitraum
strker als frher nicht mehr nur als Instanz von fast 100 Jahren erstreckt, wurde
fr die Verwirklichung der Gerechtigkeit der Entwicklungsprozess in den fast
verstanden, sondern auch als eine soziale 70 Jahren des Sozialismus in Richtung
Aufgabe, die durch die Art und Weise ihrer einer Weltanschauung geleitet, nmlich
Erfllung dem strafflligen Menschen 44
zit. nachJescheck, 2004, S. XII ff.
eine Lebenshilfe geben soll. Dabei wird die 45
Meier, 2006, S. 10 ff.
54
Before Creating a Law
das sozialistische Strafrecht nach der ben, sondern nur gerechtfertigt ist, wennsie
sowjetischen Strafrechtsschule. Die sich zugleich als notwendiges Mittel zur
Entwicklung des deutschen Strafrechts Erfllung der prventiven Schutzaufgabe des
konnte ber einen viel lngeren Zeitraum Strafrechts erweist.46
erfolgen, auch wenn es durch die Whrend im deutschen Strafrecht
diktatorische Zeit des Nationalsozialismus ausdrcklich die mglichst geringe
von 19331945 eine Unterbrechung Anwendung der kurzen Freiheitsstrafe
gab. In der DDR wurde hnlich wie in gefordert wird, wird sie dagegen im
der Mongolei das Rechtssystem unter mongolischen Strafrecht sogar gefrdert
sowjetischen Einfluss in eine sozialistische und vergleichsweise hufiger angewandt.
Richtung gelenkt. All die Grnde, die im deutschen
Erst in den 25 Jahren nach dem Strafrecht gegen die kurze Freiheitsstrafe
politisch-gesellschaftlichen Umbruch aussprechen, scheinen im mongolischen
von 1990 erffnete sich fr die Mongolei Strafrecht lediglich bei lngeren
die Mglichkeit, ihre Zielrichtung selbst Freiheitsstrafen Probleme zu sein.
zu bestimmen und zu ndern, also Die Dauer der 2002 in der Mongolei
eine Richtungsnderung bezglich der eingefhrten Einzelhaftstrafe reicht
Rechtsentwicklung im Allgemeinen. von einem bis zu sechs Monate. Die
Im Folgenden werden die Einzelhaftstrafe stellt eine besondere
wichtigsten Bemerkungen ausgefhrt, Art der freiheitsentziehenden Strafe
die den Unterschied der beiden Systeme im mongolischen Strafrecht dar und
verdeutlichen. sollte nur im Bereich leichter und
2.2.1 Die Zweckbestimmungen einzelner minderschwerer Kriminalitt verhngt
Sanktionen und vollstreckt werden, whrend
Die Zwecke der Strafe sind in die eigentliche Freiheitsstrafe fr
beiden Rechtssystemen grob gesehen minderschwere, schwere und besonders
zwar hnlich definiert, aber bei nherer schwere Straftaten vorgesehen ist. In der
Betrachtung dieser Definitionen scheinen Theorie ist die Einzelhaftstrafe als leichtere
die Auffassungen im mongolischen Bestrafung gedacht. Die Manahme der
Strafrecht etwas oberflchlicher zu sein Einzelhaft wird jedoch grundstzlich als
als bei den deutschen Auslegungen der eine besondere Hrte kritisiert und zur
Zweckbestimmungen. Frage gestellt. In der Praxis scheitert die
Auf der anderen Seite hat der Umsetzung der Einzelhaftstrafe an den
deutsche Gesetzgeber in Verbindung Vollzugsbedingungen. Oft erfolgt ihre
mit der Strafzumessungsvorschrift von Vollstreckung in den Vollzugsanstalten
46 StGB durch die Strafrechtsreform fr Freiheitsstrafen mit normalen
von 1969 die Idee der Spezialprvention Sicherheitsmanahmen. Es ist deshalb auch
wesentlich gestrkt und in den nicht selten, dass die zu Einzelhaftstrafen
Vordergrund gerckt. Die Geldstrafe Verurteilten wegen des Platzmangels
sollte die Hauptstrafe der Gegenwart zusammen mit den zu Freiheitsstrafen
sein, deren Anwendungsbereich die verurteilten Insassen inhaftiert sind. Bei
leichte und mittlere Kriminalitt sein der Haftstrafe werden die Zwecke der
sollte. Der Bundesgerichtshof hat die Spezialprvention und der individuellen
Neuorientierung der Strafziele mit der Abschreckung in den Vordergrund
neuen Bedeutung prventiver Strafzwecke gestellt, von der Resozialisierung ist
folgendermaen zusammengefasst: Nach dagegen gar nicht die Rede. Im Gegensatz
der kriminalpolitischen Gesamtkonzeption, zum mongolischen Strafvollzug orientiert
von der die Strafrechtsreform ausgeht, sich der deutsche Strafvollzug strker am
soll in der Regel auf die Verhngung Resozialisierungsgedanken.
kurzer und die Vollstreckung mittlerer 2.2.2 Zur Regelungen und Anwendung
Freiheitsstrafen verzichtet werden. [...] Dem der Hauptstrafen
1. Strafrechtsreformgesetz liegt der Gedanke Was die Hauptstrafe anbetrifft,
zugrunde, dass die Strafe nicht die Aufgabe scheint die Sanktionenpalette im
hat, Schuldausgleich um ihrer selbst willen zu 46
zit. nach BGHSt 24, 42, Entscheidung vom 08.12.1970.
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47
Albrecht, H.-J., 2000, S. 21.
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Before Creating a Law
Deutschland Mongolei
Bevlkerungszahl (pro km2) 81,8 Mio. (230) 2,8 Mio. (1,9)
Rate pro Rate pro
Jahr Gesamt-zahl Jahr Gesamt-zahl
100000 E 100000 E
1992 57 448 71 1993 6085 270
1995 66 146 81 1996 6070 265
Entwicklungstrend bei den 1998 78 592 96 1999 6414 271
Gefngnisinsassen2
2001 80 333 98 2002 7256 296
2004 81 166 98 2005 6998 274
2007 75 719 92 2008 7570 287
2010 72 052 88 2010 7265 269
Anteil weibliche
5,6% 6,2%
Gefngnisinsassen
Anteil jugendliche
Gefngnisinsassen unter 18 3,2% 1%
Jahren
Auslndische
26,7% 0,3%
Staatsangehrige
62 (Stand 2010)
3
Anzahl Vollzugs- und
186 (davon 25 Gefngnisse; 26
U-Haftanstalten
U-Haftanstalten, 11 Arresthuser)
Offizielle Kapazitt des 78 525 8000
Vollzugssystems (30.11.2011) (28.08.2009)
Belegungsrate (basiert auf 86,7% 63%4
offizieller Kapazitt) (30.11.2011) (28.08.2009)
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other jurisdictions can contribute to the two elements of the trust are generally
improvement of the remedial system; considered to be essentially common
- As a comprehensive device law concepts, and not recognized in civil
external to the tradition of the Mongolian law jurisdictions (like Mongolia) due to
legal system, the study of trust law can incompatibility with the underlying legal
stimulate fresh thinking about property system.13 However, rules relating to the
law issues among Mongolian lawyers, management of anothers property and
policymakers and commentators. to relationships based on personal trust
At the same time, an incorrect can be a source of good examples for the
or incomplete understanding of trust formulation of legal regulations necessary
principles may give rise to problems to protect property rights in a system
such as the defrauding of creditors, the undergoing transition.
circumvention of laws prohibiting certain Chapter 1 will identify Civil Code
activities,11 or the unfair distortion of the concepts having similar characteristics to
fabric of existing law. the trusts of the common law, and identify
This paper will cover the standards the applicable scope of the trust concepts
applicable to trust relationships in the in this enquiry. Chapter 2 will compare
legal systems of the United States of ownership rights of the parties to a trust
America and Japan, for the purpose participants with ownership concepts
of identifying norms that may help in in the Civil Code of Mongolia, and will
the further development of the property identify the monitoring requirements for
relationship in Mongolia from a legal trust property, which can be useful tools
and economic point of view. The author for the identification identify and control of
has chosen these two jurisdictions as property in the hands of another. Chapter
a particular reference not only because 3 will concentrate on fiduciary duties of
of the size of their economies, but also the trustees and ways to enforce them,
because of the characteristics of their with particular attention to the core of
social and legal structure. Japan is a civil duties and responsibilities arising from the
law country which has more than 80 years fiduciary relationship and the justification
experience with trust regulation, and is of legal remedies for breach. The final
now in the process of reforming its own chapter will compare property remedial
law. The United States is a country having system of Mongolia and constructive
statutory trust regulation and successfully trust, to find ways to improve the current
developing trust structure in both of the remedial system of Mongolia.
social and commercial sphere. Chapter 1. Fundamental
The objective of the current thesis is principles, usages and types of trusts
not to suggest the transplantion of Anglo- Section 1.1. Description of trust
American trust law12 to Mongolia, but and its requirements
ultimately to explore ways of improving 1.1.a Trusts and other related
the civil remedial system by drawing regulations in Mongolian legislation.
upon constructive trusts concepts. The The eventual purpose of this thesis is
fundamentals common to all forms of to find proper ways to develop trust
trust, such as the concept of trust property concepts which can contribute to or
and fiduciary duty must be outlined first, in enable the development of measures
order to understand trust principles. These to support property management and
11
In Mongolia Non bank institutions are prohibited to deal 13
Adair Dyer, Recognition of Common Law Trusts and
saving and loan activities, but now they are taking saving Their Adoption in Civil Law Societies. Vanderbilt Journal
from the public under the name of the trust service. of Transnational Law. October,(1999) (idea of division of
12
AndreyA.Zdanov, Transplanting the Anglo-American ownership seemed irrelevant,and even dangerous, since
Trusts in Russian soil, Review of Central and Eastern Euro- some civil law systems had a comprehensive division of
pean Laws 31 (2006) 179-231 ownership as an absolute concept)
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contract, but not property relationship, it the legal title is transferred to others
is assumed that no property right is given and fiduciary relationship, but it is not
to the beneficiary of this contract, whose independent contract. From the scholastic
counterpart in trusts relationship has such interpretation the transferor of the
rights. property is losing all his property right, so
Usufruct26 .Usufruct is defined he has only right on damage claim but not
in Civil Code of Mongolia as a right to property claim from the fiduciary, that is
possess and use others property with evidencing impossibility of the ownership
limits for earning property and benefit. separation29
The usufruct possessor is entitled on Agency30.According to the contract
the same right as the real owner except an agency is to do certain actions on
to dispose it through the comprehensive behalf of and at the expenses of a
transfer to third person. The usufruct principle and the principle should pay
possessor should take permission from for a service. It differs from trusts as an
the owner in case of pledge and rent of action undertaken by the agent is on the
the property. This is similar to the trusts in name of the principle. There is no transfer
sense of that it limits the owners right, but of the ownership right, although agent is
it is not the complete limit of the ownership acting for the benefit of others and holding
rights like trusts, because the usufruct the fiduciary duties like trustees, but he is
possessor has no right to dispose. entitled only on certain actions instructed
Transfer of the immovable property by the principle.
to the others administration27. This will Guardianship.31The article is also one
be attached only to the immoveable of the confusing articles of the Civil Code
subject to the hypothec. It is one type of and it does not stipulate directly that the
the measures to ensure the performance guardian has ownership rights and some
of the obligation and an alternative other property rights on the assets of the
method of selling property by auction and ward. But it is assumed that guardian is
established by the court on the request legally entitled on the property as article
of the obligation assignee with hypothec 485.2 stipulates that in case of death
claiming rights on the property. It is very of the guardian the successor of the
similar to trusts, since administrator has transferred property will have obligation
a right of ownership, such as right to to take care of the ward Here the
dispose and distribute benefits earned transferred property means the property
from the administration to the entitled on it transferred to the guardian from the ward
people according to the plan approved by for guardianship as the article 483.2
the court. But it is distinguished from the stipulates that in case of the contract
trusts as a short term structure and can be termination the transferred property
initiated only by the obligation assignee shall be returned to the ward. If the
who is not the owner of the property. successor of the guardian can receive the
Moreover after the complete performance transferred property, logically it means that
of the obligation the remained property the property is included into the guardians
should be returned to the owner of the will. Consequently, the guardian has a
property. legal title on the property like trustee in the
Fiducia28.It is also one way of trusts, but he is not entitled on disposition,
ensuring performance of obligation by because law requires the consent of the
transferring a legal title to an obligation
assignee. It is similar to the trust in that KhuuliZuinUndesniiTuv [National Legal Center],
29
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LAW REVIEW 2015 5(60)
ward for it. This provision is evidencing the trust form37 but the characteristic and
the sensitiveness of the civil law system in content of the trust relationship, as an
division of ownership rights. instrument to cause trustee to administer
However these above listed and dispose the property for the benefit of
relationships are having some elements others.
of the trusts, they can not be considered Basing on the opinions of the scholars
as trust relationship32 due to lack of one and definition of the legislations the author
or more of the following characteristics of compared the common characteristics of
the trusts. the trusts given by them38, the following
1.1.b Definition of the trust. There description is made for trusts:
is no strictly stated trust definition in Trust is a legal relationship where
common law, because its structure is very a person (trustee) to manage the others
clear and deceptively simple for common property (trust property) for special
law system. Thus Scott has stated that purpose (charitable or for the benefit of
the definition results from the rules, and the beneficiary)39. The main binding40
not the rules from the definition33 and he characteristics of the trust are following:
has mentioned that trust is understood in - Ownership and interests in related
two ways, such as broader and narrower property are separated between trustee
sense. In broader sense, trust is a fiduciary and beneficiary;
relationship including all like bailment, - Fiduciary duties of the trustee
executorships, guardianship and so on. in administration and disposition of trust
In narrower sense, the term is applied to property;
the definition of the Second Restatement - For benefit of other than legal
and he gave main characteristics of trusts, owner (trustee) of the property.
such as intentionally created fiduciary The composition of these 3 main
relationship, related to the property, and characteristics makes trusts distinct from
existence of equitable duties, benefit of other similar institutions, such as bailment,
another people34. agency, guardianship and others.
But the definitions is needed for Distinction of the trusts from other
giving general idea, namely for answering similar relationships41
question What is trust?35and for
distinguishing it from other concepts,
like bailment, and agency for civil lawyer.
Specially in statute based system of law
like Mongolia regulations begin from the
definition. Thus according to the Article
1 of the Trust Law of Japan36 trust is
a transfer and otherwise dispose of a 37
Trust form means how or by what document trust can
property right and cause another person be created
to administer or dispose the property for a 38
Stevan L. Schwarcz, Commercial Trusts as Business
specific purpose. This article did not give Organizations: An Invitation to Comparatists 43 Duke J.
Comp.&IntlL.321 (2003), Hayton and Marshall Commen-
tary and Case Law of Trusts and Equitable Remedies 1,
Donavan W.M.Waters, The Institution of the Trust in Civil
and Common Law 449 (1995), the Hague Convention on the
32
See table Distinction of the trusts from other similar rela- Law Applicable to Trusts and on their recognition,
tionships of this chapter
39
Definition applies only to the express trust
33
1 Austin W. Scott, The Law of Trusts 37 (3rd ed., 1967)
40
binding is used as that if even one of these characteris-
34
Id. tics is missing it can not be considered as an express trust
35
ItineraFiduciae: Trust and Treuhand in Historical Perspec- 41
The table is based on the Bogerts comparisons, though
tive 37 (R.Helmholz R.Zimmermann ed., Duncker&Humblot. there are many other comparisons, for instance Edward
1998) and Stockwell made comparison with contract, bailment,
36
ShintakuHou [S.T.H] [Trust Law] art.1. (Japan) administration of estate, condition and power.
68
Before Creating a Law
ship
Trust
Bailment1
Agency
Guardian
decision/
/by court
Receivership2
parties
Contract for third
Usufruct
fiducia
Organizations.
Financial
by Non Bank
Trusts dealt
Civil Code
entrustment in
Asset
administration
to others
immoveable
Transfer of
For benefit of + + + + + + - - + + +
other than legal
owner
Fiduciary duty + - + + + + - + + + +/-
Separation of + - - -/+ - - + - +/- - +
ownership and
interest
Section 1.2 Usages and types of of usages and types of the trusts will help
the trusts to compare trusts to the civil law concepts
The significance of this chapter fulfilling similar functions and to identify
is to show the reason why trust or trust applicable sphere of trust concepts in civil
like devices are employed by the people law.
as a legal device. Economic behavior is 1.2.a. Usages of the trusts. Modern
a social exchange model in which people usages of trust is wide arranging from
want resources from others and engage family asset planning to investment and
in organized life, where the motivation is a security tools. For instance, in the USA
desire to maximize their gain of resources historically, the trust is being used and
and minimize losses42. The trust is a recognized as a device for intra-family
flexible device that opens possibilities of wealth transfer, but in recent times it
exchange that are not supported by the has begun to play a significant role in
strict rules of a Civil Code or judicially the capital market as a commercial tool,
establish property regime. as shown by the fact that pension trusts
In the legal theory trust as a legal and mutual funds hold 40 percent of all
concept is born by Courts of Equity in US equity securities and 30 percent of
England to avoid unjust results under corporate and foreign bonds45. Since
inflexible Common law rule on land modern usages of trust is very diverse
rights43.Trust law has become an and uncountable, as a summary of
established element of English law various views of the opinion leaders in
because it has proven to be useful this sense, followings are some of more
instrument for dealing managing of common uses of trusts in common law
settled land and property, establishment jurisdiction46.
of business entities and pursuing charity, 1. Family and personal property
defining right and obligation in various planning and preservation. Trust is used
types of transactions44. So understanding for many purposes, like transferring
property or benefit for his desired
42
2 Russel Safe Foundation Series in Trust, Tom. R Tylor,
persons, at the same time managing
Why People Rely on Others? Social Identity and Social As- and preserving wealth professionally and
pects of Trusts. Trust in Society 287 (2001)
43
Black`s Law Dictionary, 579 (8 th ed., 2004) (equity 4. 45
H.Hansmann&U.Mattei, Trust law in the United States.
The system of Law or Body of originating in the English A Basic study of its Special Contributions, 46 Am.J.
court of Chancery and superceding common and statute Comp.L.133 (Supplement, 1998)
law when two conflict 46
Almost all books on trust issues clearly describes the trust
44
R.Edward&N.Stockwell, Trusts and Equity 5 (Pitman, usages, therefore the author generalized these purpose and
1992) mentioned which are more popular and common.
69
LAW REVIEW 2015 5(60)
70
Before Creating a Law
private trusts, it is necessary that the property. But in active trusts trustee has
beneficiary is identified more clearly and active management responsibility56 and
individually. But in the charitable trusts, as depending on the level of his discretionary
the beneficiaries are multiple subjects, power it also can be divided into two types
the important is the purpose rather than like, ministerial and discretionary57. In
individually identified persons. More over, the ministerial or fixed trusts the settlor
according to the UTC private trusts require determines the exact benefit which
determined (ascertainable) beneficiaries, each beneficiary should receive and
on the other hand charitable trusts are in the discretionary trusts, the trustee
created for public interests. Interesting has a power to decide the shares of the
is that the UTC allowed to create trusts beneficiary.
for animals, and other trust of non Section 1.3. Conclusion from the
charitable purposes, which is named as chapter
honorary trusts. Valid period, requirement From the trust descriptions and its
for identifying beneficiary purposes and comparison to the Mongolian Civil law
enforceability53 and property distribution concepts having similar characteristics,
at the end of the trust is differed, so the the author has come into the conclusion
principles of charitable activities also will that there is no similar concepts fulfilling
be applied to it. the functions Anglo American trusts. So
Depending on the possibility of from the summarizing of various usages
withdrawal by the settlor trust is sorted of the trusts in common law jurisdictions,
as a revocable and an irrevocable. In it is becoming clear that trust concepts
the revocable trusts settlor preserves can not be applied in such broad sphere
some rights on trust, namely the rights in civil law jurisdiction like its counterpart
to appoint, resign or change trustees in common law jurisdiction, because
and others. Revocable trust is used for some of these usages are covered by
avoiding probable process as a substitute the current legislation related to the
for a will in the USA54. In contrary to the corporation, non government organization
common law concepts, according to the and contract law. But its standards
UTC trusts are presumed to be revocable. related to the holding of trust property
On the other hand, in irrevocable trust, a independently, imposing fiduciary duty
setllor loses all his property interest on the on managers of others funds can help
trust property and the beneficiary who is to address the deregulations of the
the only capable person to enforce duties current legislation related to the property
by the trustee. Consequently, the rights of management and protection. Since the
the creditors of the trust parties also will rules related to the above mentioned
be quite different in this two types of the trusts differ depending on the types of the
trusts, so is the distribution of the trusts trusts and such types are arisen from the
property after the end of period of the case laws as a result of social needs for
trusts. them, it would be impossible challenge to
Relating to the duties of the trustee, develop all types of the trust in Mongolia.
trust is classified like simple and special Because Mongolian economy and legal
trusts.55 In simple trust, sometimes structure is still young and immature
named as passive or bare trusts, trustee comparing to the conditions of the Japan
has only duty to hold legal title to the and USA, when trust was introduced. For
example, for developing express trusts,
53
David M. English, Uniform Trust Code and Its Appli- there should be more justified legal and
cation to Ohio, Capital University L.Rev., 1 (2002) 56
Nicole Y. Emnett, Case note: McCollunm v. McCollunm: Merg-
54
Id. er ad Fiduciary dutyin Arkansas, Ark.L.Rev. (1999)
55
Supra note 56 at 33 57
Supra note 45 at 58
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LAW REVIEW 2015 5(60)
(Footnotes)
1 I.H Art.233. (bailment is arisen
when one of the contract delivers a mon-
ey to other party as a guarantee of per-
forming obligations)
2 Dampuurliintukhaikhuuli [D.H]
[Bankruptcy Law] Art. 3.1.4 (This function
is performed by a trustee in bankruptcy
procedure, who is a person appointed by
the court with claimants proposals for ex-
ecuting work of liquidation and recapital-
ization, protecting and controlling assets
of the defendant)
72
Before Creating a Law
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LAW REVIEW 2015 5(60)
prices have improved, and the outlook is responsible mining which implies safe
somewhat more promising. However, it is mining practices for the environment,
not safe to assume a direct connection people, and supporting the social and
between legal and economic cycles. The economic development of a host country.
duration of the investment downturn and Transparent mining practices ensure
recovery prospects are likely to be uneven that mining revenues are clearly and
in various countries.3 accurately reported, disclosed, and are
The Minerals law of Mongolia has managed at fair and equitable terms.
certain provisions to highlight which are In this regard, a resource rich country
outlined below: like Mongolia must pay ad equate attention
An exploration or mining license to its taxation, accounting, revenue
may be pledged with banks or non- administration, contract negotiation and
banking institutions as security for management capacity. In addition, it is
receiving finance together with work crucial that the host country understands
result reports, geological information, and the economic meaning and effects of
feasibility studies. (Article 51) various taxes, and fees associated with
A deposit use agreement may the mining well.
be entered into between the government 3. Legal and contractual regimes
and a mining business. The government The legal obligations placed on a
participation in mining projects may be company operating in the mining sector
agreed by such agreement. Up to a 50% may be enshrined in a mining law, in an
participation right may be permitted to individually negotiated agreement, or within
the government if the government funded model contracts with specified exceptions.
the costs of exploration for a strategically In a pure permit regime, the government
significant deposit. (Article 5) details all the major obligations for mining
The governments participation in companies in legislation, and companies
the strategically significant deposit may apply for permits for exploration and
be substituted by a royalty. (Article 5) extraction under the defined terms of
Mineral royalties are increased laws. This framework allows little scope
to reflect market price rises for mineral for discretion in granting differential terms
products. (Article 47) for companies involved in the extraction
An extraction license holder is of the same mineral. In a pure contractual
required to trade no less than 10% of its regime, the obligations of individual
shares at the Mongolian stock exchange. companies are negotiated and detailed in
(Article 5.6) a contract often referred to as a mineral
2. Mining industry is a business development agreement. In practice, most
The mining industry and investment countries do not operate a pure permit or
flows are international in nature. a pure contractual regime. The range of
Improving the Minerals laws and Minerals obligations that a typical mining company
policy is not sufficient to attract increased faces under a resource contract includes
foreign investment, and promote social fiscal regimes, operational commitments,
development and economic growth. environmental obligations, worker safety
The mining industry is a business. obligations, and social obligations.4
Therefore, a profit making goal is its 4. Role of the relevant ministries
essential element. In addition, the mining In general, the ministry of mining/
industry is subject to the requirement of resources is responsible for the overall
management of the extractive industry
3
African mining industry developments and opportunities: A
Global Perspective, Presentation delivered at Norton Rose 4
A World Bank Study, 2015, The Extractive industries sec-
Full bright Event by Professor Peter Cameron, Mining Inda- tor, Essentials for economists, public finance professionals,
ba, Cape Town, 9 February 2016, page 2 and policy makers, page 71
74
Before Creating a Law
75
LAW REVIEW 2015 5(60)
and costs, and these will change over Capital costs are normally high and
time, there should be a preference for these are often sunk costs, and operating
transparency. This can be implemented and maintenance costs may vary due
by multi-stakeholder bodies to conduct to extraction, labor, processing and
regular reviews of key assumptions, so transportation costs.
that any policy change is predictable An efficient, fair and effective
and decision making is consensual. As taxation policy is a key issue for the
tax systems increasingly converge, the development of the mining industry, and
question of whether mining tax revenues the governments ability to implement
are being properly utilized will become public programs. It is also important that
more important than the division of wealth people of the host country are provided a
between companies and the state.6 fair share in mining profits. The best tax
6. Taxes, fees, and costs policy is the one which reflects the type
There are several different types of of commodities, the method of extraction,
fees and taxes the host country normally and the one which enables sustainable
collects. They are: mining.
- Royalty this is rent paid by a 7. Transparency of the extractive
mining business to the government (or the industry and international initiatives
owner of minerals) for granting the right Timely and regular release of
to extraction to non-renewable subsoil comprehensive information about
asset; resource licenses, contracts, and
- Land fees (normally charged for revenues allows governments, legislators,
any portion of land/tenure used for mining and citizens to exercise oversight and
and related operations) conduct an informed debate about the
- Minerals license fees (exploration best use of revenues.
or extraction license fees) which are In addition, the legal framework is
normally charged annually for per hectare the main pillar of resource transparency
tenure whereon exploration or mining and provides the basis for reconciling
activities are conducted; the possibly divergent interests of key
- Water fees (charged for water stakeholders.
used for extraction or processing); In the experience of many developing
- Business income tax, which is countries, setting up a special structure
assessed on profits made by a mining to control large taxpayer compliance has
business; and generated both increased compliance
- Contributions or monies provided and more effective tax administration.7
to the communities located close to mines. Regardless of the institutional structure
In addition, it is important to employed for resource taxation to be
understand the costs (past, current or effective, the very large imbalances in
future) and expenditures associated with expertise between governments and
a mining business to deal appropriately resource companies must be reduced
with the mining industry. by appropriate staffing, and staff training.
It should be noted that the mining Here, quality is more important than
investment involves an opportunity cost, quantity.
which means that the current use of mineral In respect of international initiatives,
resources reduces or depletes the supply in 2014, members of the Organization for
of mineral resources available for future Economic Co-operation and Development
use. This is particularly relevant to subsoil (OECD) including several developed
resources which are nonrenewable. 7
A World Bank Study, 2015, The Extractive industries sec-
6
Paul Mitchell, Taxation and investment issues in mining, tor, Essentials for economists, public finance professionals,
https://www.oecd.org/site/devaeo10/44282904.pdf and policy makers, page 77
76
Before Creating a Law
nations in Europe and Latin America and other essential tools of business.8
many tax havens such as the British Virgin Various countries, including Australia
Islands, issued a joint statement calling (in particular Western Australia) and
for a global standard for the automatic South Africa, have reviewed the rules
exchange of information between tax for determining royalty rates. The royalty
authorities. They believe that such rates reflect the depth of a mine (deep
exchanges can help to clamp down on tax underground, underground or open cut
evasion, and shift the burden of proof from mines) different levels of value added
tax authorities to tax payers who would processing (semi-processed, concentrate
have to defend their structures. or metal) and the profitability of mining
The move towards transparency projects.
is nothing new for mining companies, Any country contemplating changing
having already experienced the Extractive royalty rates should be aware of the
Industries Transparency Initiative (EITI) significant risk of capital being withdrawn
which passed in 2003 and which calls due to sovereign risk perceptions. Mining
for certain disclosure of payment and companies look for certainty. They are
revenues. Annual EITI reports produced using tools such as advanced compliance
by mining companies are subsequently agreements, ruling requests and tax
reconciled by the national tax authorities. policy submissions to policy makers.
Country-by-country reporting is a more When investing into new projects,
recent trend. mining companies are using advanced
In 2013 the OECD began a pricing agreements, bilateral investment
collaboration to address international treaties, and fiscal stability agreements to
rules that enable profit shifting, allow obtain certainty around key tax variables
double non-taxation and erode domestic underlying their investment decisions.9
tax bases. Its September 2014 draft 8. Profits sharing and policy
recommended revised standards for objectives
transfer pricing documentation with It is commonly argued that resource
multinationals required to annually report rich countries are not always economically
revenue, profits, income taxes paid, and/ advanced or are not experiencing
or accrued, the number of employees, noticeable growth. It is also claimed that
stated capital and retained earnings, and mining revenues do not promote social
tangible assets for each country in which equity. There are countries where mining
they do business. Additionally, companies revenues are managed successfully. For
would have to identify each entity within example, the Alaska Permanent Fund has
the group that operates in a particular been in place since 1977 and it receives
tax system, and indicate the nature of its about 10 per cent of the states income
business. from oil and annually distributes a share
Although the OECD has no power of the accrued interest to all citizens as
to force any member to adopt such a dividend. Advocates suggest that such
rules, governments clearly recognize a plan would do a better job than the
the benefits of taxpayer disclosure over government in allocating rents by keeping
government/auditing agent searches. part of the oil revenues out of the hands of
Any required disclosure that includes politicians, hence reducing corruption and
payments to foreign persons may increase government inefficiency, and becomes a
the risk of scrutiny by anti-fraud regulators,
especially regarding semi-legal payments
8
KPMG, Trends in taxation, Coping with transparency, min-
to public officials for transport permits and ing royalties and volatility, kpmg.com/mining
9
KPMG, Trends in taxation, Coping with transparency, min-
ing royalties and volatility, kpmg.com/mining
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LAW REVIEW 2015 5(60)
powerful tool for achieving social goals.10 - Ensure that resource extraction
Although there are several methods takes place in a manner that minimizes
of profits sharing, there are legitimate environmental degradation and promotes
interests in the host country that local biodiversity;
regions develop, new jobs are created, - Ensure benefits for communities
targeted public programs are supported are defined through a fair process;
and the gap between the poor and rich - Develop capacity for local,
narrows. regional, and national value adding
At the end, the objectives of the through the development of upstream
mining sector policies may be, among and downstream linkages -as well as side
others, to: stream linkages to skills and technology-
- Offset the depletion of finite based sectors and infrastructure and
subsoil assets with investments in human support for entrepreneurs at the local and
resources, infrastructure, and broader national levels;
and long term productive capacity and - Ensure health and safety
diversification; standards.11
10
Macartan Humphreys, Jeffrey D. Sachs, and Josepth E.
Stiglitz, Escaping the resource curse, 2007, Page 242-243
11
A World Bank Study, 2015, The Extractive Industries Sec-
tor, Essentials for economists, public finance professionals,
and policy makers, page 13
78
Before Creating a Law
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80
Before Creating a Law
medals;
Grant pardons;
Decide matters related to granting
and withdrawing Mongolian citizenship
and granting asylum;
Head the National Security
Council of Mongolia;
Declare general or partial
conscription;
Declare a state of emergency or
a state of war in any portion or throughout
the entirety of the national territory in
an emergency situation as described
in paragraphs 2 and 3 of Article 25 of
the Constitution of Mongolia, where
such circumstances of urgency exist
4. President. when Parliament is in recess, and to
The President of Mongolia possesses issue ordinances commencing military
and exercises the full rights and powers operations. The Parliament shall consider
as promulgated by the Constitution of within 7 days any such Presidential Decree
Mongolia, as follows: declaring a state of emergency or a state
The right to veto, either in part of war and shall approve or disapprove
or in its entirety, those laws and other it. If Parliament makes no decision
decisions that are adopted by Parliament. whatsoever within the prescribed time, the
The laws or decisions shall remain in Presidential Decree shall automatically be
force if two thirds of the members present void.
in the session of the Parliament override Serve as the Commander-in-
the Presidents veto; Chief of the armed forces of Mongolia.
Propose to Parliament the The president may address messages
nominations for appointment to the post of to Parliament and/or to the people. The
the Prime Minister, in consultation with the President may at his or her own discretion
majority party or parties in the Parliament attend sessions of Parliament and report
if none of them has majority of seats, on and submit proposals concerning vital
as well as to propose to Parliament the issues of domestic and foreign policies of
dissolution of the government; the country.
Instruct the government on ii. Substantive Laws
issues within scope of his authority. If In general, laws passed, other
the President issues a lawful decree, than the Constitution, are classified as
that decree shall become effective upon substantive law in Mongolia, and are
signature by the Prime Minister; divided into two categories; public law and
Represent the state with full private law. Private law regulates relations
powers in foreign relations and, in between equal parties, and public law
consultation with Parliament, to conclude regulates all disputes between a private
international treaties on behalf of citizen or group and a public body or
Mongolia; the government. The Civil Code is the
Appoint and recall ambassadors, core of private law in Mongolia, and the
diplomats, and representatives of Mongolia Criminal Code and Administrative General
to foreign countries in consultation with Law govern public law. Statutes are the
the Parliament; primary source of law in Mongolia; and as
Receive the credentials or recall of July 2016, 596 laws exist. Legislation
of heads of diplomatic missions of foreign may be enacted solely by Parliament
states to Mongolia; pursuant to its constitutional authority,
Confer state titles and higher by prescribed means and such that it
military ranks and award orders and becomes the law governing conduct within
81
LAW REVIEW 2015 5(60)
its scope. Members of the Parliament, laws. Presidential decrees must conform
the Government, and the President of to the rights granted by the Law on the
Mongolia may initiate a draft of a law in Presidency (also generally known as
accordance with Law on Legislation of Presidency Law). These rights were
Mongolia. originally promulgated in the Constitution,
In Mongolia, legal acts, in the and have been restated in the Law on the
broad sense of the word, may take any Presidency.5
number of forms, to include parliamentary v. Orders
resolutions, presidential decrees, cabinet 1. Overview
ministry resolutions, and ministry rules In Mongolia, orders can take
and orders. Parliamentary resolutions several forms, including Parliamentary
may regulate the following issues: resolutions, presidential decrees, cabinet
Government and other organizations. resolutions, and ministerial or agency
Parliamentary resolutions are most rules, procedures, and orders.6
frequently concerned which specific topics 1. Presidential Decree
for the implementation of a broad range of The Constitution of Mongolia
Government activities. specifically grants the President the
iii. Treaty and International Law authority to issue decrees; the Law on the
The status of international law in the Presidency further codifies the Presidents
Mongolian legal system was dramatically decree powers. The aim of both is to limit
transformed by the 1992 Constitution of the Presidents powers by requiring that all
Mongolia; as part of its transition since decrees must be in accordance with, and
1990 and commitment to the rule of law, not be in violation of, any of the Nations
Mongolia is a signatory or party to a laws.
number of international treaties that bind 2. Ordinances of Prime Ministers
the government to honor international and Ministerial Ordinances
standards and norms of law. The 1992 Executive power in Mongolia is
Constitution of Mongolia provides that the vested in the Government, which, in
international treaties to which Mongolia accordance with the limitations prescribed
is a party, shall become effective as by the Constitution, laws, and normative,
domestic legislation upon the entry into or regulatory, acts of Parliament, issues
force of the laws or on their ratification or resolutions and ordinances. Cabinet
accession. Mongolia shall not abide by any ministry resolutions have many forms
international treaty or other instruments and functions. In their simplest from they
incompatible with its Constitution.4 are a formality used to adopt decisions
International treaties to which by a higher level of the Government. For
Mongolia is party to are bilateral or example, the Government may issue
multilateral written agreements to be a resolution formally adopting a piece
regulated by international law. These of legislation which has already been
determine the rights and responsibilities voted on by Parliament. Resolutions can,
of Mongolia, the Parliament of Mongolia, however, also rise to the same legal status
the Government of Mongolia, as well as of regulations. If these resolutions and
single or multiple foreign countries their ordinances are incompatible with laws
governments or international organizations and regulations, the Government itself or
with regard to certain issues. Parliament has the constitutional power to
The term international treaties refers invalidate them.
to all interstate, intergovernmental, or All ministries and agencies have the
interdepartmental documents irrespective power to issue regulatory acts pursuant
of their form and appellation. 5
Overview of the Mongolian Legal System and Laws, Sourc-
iv. Emergency Executive Order es of Law, http://www.nyulawglobal.org/globalex/Mongolia_
The President is specifically Research.html#SourcesofLaw (last visited Jul. 21, 2016).
authorized to issue decrees in accordance 6
Overview of the Mongolian Legal System and Laws,
with the Constitution and Mongolian Sources of Law, http://www.nyulawglobal.org/globalex/Mon-
golia_Research.html#KeyElementsofModernMongolianLe-
4
Mong. const. art. X, 1-3 (1992). galSystem
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Before Creating a Law
power under public law framed by issuing responsible to the citizens for the creation
administrative acts, administrative of guarantees for ensuring human rights
normative acts, and administrative and freedoms, to fight against violation of
contract/agreement. This law determined human rights and freedoms and to restore
the administrative legislation as related of infringed rights and also Article 48.1
part of the Constitution, Administrative states that Specialized courts such as
general law and other laws which pertain administrative courts may be formed.
to administrative activities. Under this constitutional regulation, the
Administrative General Law shall not first Administrative Procedure Law was
govern the below relations: enacted and also the first Administrative
- Activities of law drafting and courts were established in the capital city
legislative procedures; and 21 provinces. The main concepts and
- Procedure of international treaty principles of Administrative Procedure
acceptance and signature; Law was adopted from German law which
- Proceeding of the Constitutional is a strong representation of Romano-
Court and all level court for trial and Germanic legal tradition. After a decade
litigation of criminal, civil and administrative of practice of the Administrative Court of
cases; Mongolia, scholars and practitioners were
- Investigation procedure of cases, made an assessment and evaluation for
prosecutors control, and correctional the more developed procedure law and
service activities; court of administrative cases.
- Intelligence, national security, The purpose of the first Administrative
and all related activities for direct Procedure Law was to regulate the
implementation of state foreign policy; relations connected with the preliminary
- Procedures for political discussion decision making on administrative cases
and decisions. according to the complaints and claims
Administrative organizations in submitted by citizens and legal entities
Mongolia consist of: who have considered an administrative act
- Central and local organizations as illegal in order to protect their infringed
which implement the executive power of rights, and with the proceedings of
the state; administrative cases in the Administrative
- Non-Government agencies or Cases Courts.
other public law entities which have duties On this basis, the court is dedicated
to implement legislation and have the right to secure and protect the rights and
to issue orders for the public; freedoms of citizen and legal entity from
- Legal persons who transferred illegal administrative acts and unlawful
administrative duties based on action of Public administrative body.
administrative contracts or legislation; Thus, the Administrative Court of
- Executive bodies of state- Mongolia is an independent institution
owned or joint school, hospital, media, of the Judiciary power that protects the
communication, transportation, and lawful rights of citizen and legal entity
energy organizations for public service; from the unlawful action of the Public
Local self-managing organizations administrative body.9
and other organizations such that On the demands of rapidly developing
decisions and activities are sorted out society and the weaknesses of the first
by public law decisions and are thereby Administrative procedure law, a renewed
eligible to make a claim to administrative draft of Administrative Procedure Law
court. was enacted by Parliament in February
E. Administrative Procedure Law 04, 2016 and enforced from July 1, 2016.
The first Administrative Procedure The main purposes of this law are that
Law was enacted in 2002 and enforced till it will: regulate relation in relevance with
June 30, 2016. Legal basis of this law and
administrative court is stated on Article 19.1 9
The Administrative Court of Mongolia as a Protector of
of the Constitution as The State shall be Human rights, Erdenetsogt.A, Law review, National Legal
Institute, page 47, Series 55.
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Before Creating a Law
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(i) research, (ii) exploration, and (iii) locate and no integrated source to find
extraction. Exploration and extraction English translation of Mongolian law
activities for oil and unconventional oil exists.
are subject to licensing procedures under However, the National Legal Institute
the Petroleum Law while other activities, operates a web portal for free distribution
such as research and the storage and of all legislation in Mongolian language
transportation of petroleum, are subject to and updates makes in daily basis. The
the issuance of permissions or approvals Institute and the Government both
from the relevant authorities. Such regularly publish updated paper series of
permissions usually involve a simple laws.
approval process, whereas licenses Source in Mongolian language:
involve more complicated procedures www.legalinfor.mn.
whereby applicants must satisfy more Source in English language: The
rigorous requirements provided under user can find via Google search many
the relevant laws and regulations Mongolian laws in English, but the most
including the entry into of a production recent amendments could be missing.
sharing agreement until the Mongolian This author recommends that if someone
government. needs updated laws or opinions he/she
V. HOW TO FIND MONGOLIAN should contact odugerel@gmail.com at
LAWS the National Legal Institute.
A. Overview
Currently, free Mongolian legal
resources in English are still difficult to
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